Director, Supervision

Who We Are

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.

Who We Want

As part of the Supervision Team, the Director is responsible for the daily supervision of Regional Supervisions Managers to ensure adherence to firm policies and procedures. Regional Supervision Managers are the primary point of contact for partner offices in matters of compliance and will be responsible for maintaining a positive and functional relationship with CWM Partners and their offices. The Director, Supervision will work with Compliance, Operations, and Service as well as various other internal teams.

What To Expect

• Lead supervisory principals responsible for oversight of the investment advisory representatives of Carson Group and activity associated with their advisory business as defined in company policies.
• Lead and manage multiple initiatives, including strengthening the program for supervision, escalation of issues to leadership, and disciplinary actions to drive behavioral change.
• Develop and design policies and procedures consistent with industry best practices and in compliance with applicable regulations to reasonably protect financial professionals and the firm.
• Identify trends and topics for ongoing supervisory education IARs to strengthen awareness of Carson Group’s policies and procedures. Collaborate with Compliance to create or incorporate these findings into training where appropriate.
• Manage and streamline processes to ensure efficient processing of business and services to the registered representatives, while identifying risks that need to be mitigated by Carson Group.
• Partner proactively with Compliance on identified surveillance and testing findings to enhance supervision and continually advance the program for an evolving regulatory climate.
• Participate in the due diligence review of new products and help design suitability guidelines for approved products. Implement these guidelines through the generation and delivery of training for financial professionals and for calibrating sales tools.
• Assist in regulatory exams and requests, and continually adapt the program based on the firm’s key risk areas and identified gaps.
• Communicate and troubleshoot Fiduciary issues related to recommendations and new business processing directly with the financial professionals and in accordance with service expectations.

What You Need

• Bachelor’s degree in business, finance, investments, law, or equivalent industry experience.
• 10 years of experience in Supervision.
• FINRA Series 7, 24, and 65/66.
• Advanced knowledge and expertise in RIA supervision and industry regulations.
• Strong written/verbal communication and analytical skills.
• Proficiency using MS Office tools.

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.