Regional Supervision Manager

Overview

In an increasingly complex world where people are starving for someone they can trust, we stand for something simple: always put the client first. We do well by doing good for those we serve. It’s the ultimate measure. We believe in providing value beyond a doubt and in the notion that time will either expose you or promote you, based on your willingness to embrace change.

We serve financial advisors and investors through three entities, each headquartered in Omaha, Nebraska:
Carson Wealth, Carson Coaching and Carson Partners. We provide coaching and partnership services to advisor firms – and straightforward financial advice to the investing public. We all share a common mission to be the most trusted in financial advice.

• Provide daily supervisory oversight by identifying risk, ensuring adherence to regulatory and firm requirements, and supporting a consistent supervisory framework across the organization. Partner with advisors, field offices, and internal control functions to resolve escalations, maintain compliance standards, and strengthen enterprise-wide supervision practices.
• Supervisory Oversight &
  
  Risk Management:
  
  Review and approve daily supervisory items, including trading activity, alternative investments, outside business activities, and other system-based submissions. Monitor and resolve escalated items across supervision and surveillance platforms. Identify supervisory risks and take appropriate action to mitigate exposure and ensure compliance with regulatory and firm standards.
• Regulatory Reviews & Ongoing Monitoring:
  Conduct scheduled weekly, monthly, quarterly, and annual supervisory reviews, including Department of Labor reviews, suitability assessments, ABP and TBP outreach, and continuing education follow-up. Review prohibited product activity and exception-based activity and issue Letters of Education or Caution when appropriate.
• Advisor & Field Office Support:
  Respond to advisor and partner inquiries by providing timely, consistent guidance on supervisory expectations. Support onboarding and training for new hires by reinforcing supervisory requirements and follow-up expectations. Ensure escalations and missing information are addressed promptly and accurately.
• Cross-Functional Collaboration:
  
  Coordinate with internal control functions, including Surveillance, Operations, Audit, and AML, to address identified risks and improve supervisory processes. Contribute to enterprise-level compliance initiatives by sharing insights, trends, and recommendations.
• Reporting & Documentation:
  Prepare supervisory reports and maintain accurate documentation to support regulatory requirements, internal audits, and compliance initiatives. Ensure supervisory actions and outcomes are clearly documented and aligned with firm policies.
• Other Duties:
  Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.

• What You Need: Strong understanding of the Investment Advisers Act and related regulatory requirements required.
• Experience using compliance and supervision systems, including Salesforce, SMARSH, Eagle Eye, iCapital, SIMON, and trade surveillance tools required.
• Excellent organizational, analytical, and written and verbal communication skills required.

• Minimum of ten years of compliance or supervision experience in financial services or with a registered investment adviser required.
• Series 7 and Series 66 licenses preferred.

In exchange for your expertise, we offer a base salary, bonus potential, 401(k) plus matching, health benefits, and a great working environment. This is your chance to play a key role in the continued success of our company. Our culture is fast-paced, collaborative, innovative, and focused on healthy living. Carson strives to promote the health and wellness of its stakeholders by maintaining a tobacco-free workplace.

We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability, protected veteran status, sexual orientation, age or any other characteristic protected by law.

• Starting annual base salary between $70,000 - $89,075.
• Variable compensation potential (Bonus and/or commissions).
• Competitive benefits including 401(k) with company contribution, PTO, Parental Leave, Sabbatical Leave, Medical, Dental, Vision, Health Savings Accounts, Flexible Spending Accounts, Life and AD&D Insurance, Short and Long-Term Disability, Work/Life Benefits and Holistic Wellbeing Programs.