Regional Supervision Manager

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 supervision of CWM partners to ensure adherence to firm policies and procedures. Serve as the primary point of contact for partner offices on compliance matters. Maintain positive and functional relationships with CWM partners and their offices. Collaborate across the firm to address compliance questions, manage escalations, and support supervisory requirements.

• Partner Relationship & Compliance Communication: Build and maintain compliance and supervisory relationships with partner offices through consistent communication. Address compliance concerns, respond to inquiries on industry rules and firm policies, and proactively communicate policy and procedure updates.
• Monitoring & Surveillance: Monitor partner office compliance with DOL/PTE 2020-02 requirements, SEC, FINRA, and state requirements, firm attestations, certifications, and disclosures, including outside business activities and private securities transactions, through Salesforce and Reg Ed. Review emails, social media, and electronic communications for the region, escalating items of concern as needed.
• Risk Management & Escalation: Identify and address risks presented by individual partners or businesses. Manage the escalation of compliance-related items to and from partner offices. Provide input on regulatory or firm violations and sales practice issues and recommend and monitor heightened supervision as appropriate.
• Onboarding, Training & Culture: Manage the onboarding of new partners regarding compliance expectations and assist with training to ensure new offices understand requirements and establish a culture of compliance. Coordinate with regional sales stakeholders to answer compliance questions for prospective partners.
• Supervisory Review & Documentation: Review and approve escalated new accounts, disclosure forms, and complex product purchases for adherence to Regulation BI and fiduciary requirements. Review exception reports and required recurring items. Gather information and draft disciplinary documentation for policy, procedure, or Code of Ethics violations. Assist with compliance testing and internal controls.
• Administrative & Operational Support: Participate in cross-functional strategic initiatives and assist with other compliance and business risk management functions as necessary.
• Other Duties: Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.

• Bachelor’s degree in Business Administration, Finance, Economics, or a related field required. Relevant work experience may be considered in lieu of a degree.
• FINRA Series 7, 24, 66, or 63/65 required at the time of hiring or completion of these exams within a pre-determined timeframe.
• FINRA Series 53 and 4 preferred.
• Minimum of five years of risk, compliance, and/or supervision experience at a financial services firm and/or a federally registered investment adviser required.
• Sales supervision experience with…