Regional Supervision Manager

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 Regional Supervision Manager is responsible for the daily supervision of CWM Partners to ensure adherence to firm policies and procedures. Regional Supervision Managers will be 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 Regional Supervision Manager will work with Compliance, Operations, and Service as well as various other internal teams.

This is a full time, in-office position.

What To Expect

Functions include but are not limited to the following:

• Create and maintains the Supervision/Compliance relationship with partners, communicating on a consistent basis any concerns within the region from a compliance perspective.
• Promote awareness of and compliance with policies and procedures through proactive communication with partner offices and communicate with partners regarding updates to policies and procedures.
• Build relationships with partner offices to understand and address risks presented by each partner or business.
• Monitor Partner Office compliance with DOL requirements related to PTE 2020-02
• Monitor compliance with firm attestations, certifications, and disclosures (OBAs, personal brokerage accounts) through Salesforce and RegEd.
• Review emails, social media, and other electronic communications for the region and escalate as needed.
• Communicate with and respond to Partner offices regarding compliance and supervision issues, industry rules, and firm policies.
• Communicate with partner offices when the Surveillance team identifies items of concern and work with the advisor to find a solution.
• Help Partners remain in compliance by communicating which of certain required items are due or past due, such as annual client reviews.
• Manage the escalation of compliance related items both to and from partner offices.
• Gather information and draft disciplinary documentation for violations of CWM Policies and Procedures and/or Code of Ethics violations.
• Coordinate and work with regional sales stakeholders to help answer compliance related questions for prospective partners.
• Manage the onboarding of new partner compliance expectations and assist with training to ensure new offices understand requirements and help to establish a culture of compliance.
• Assist with compliance testing and internal controls to address risk associated with the Firm’s products, services, clients, and operations.
• Provide input to Compliance on regulatory or firm violations, sales practice issues, then recommend and monitor heightened supervision as needed.
• Review certain submissions of business made by Partner Offices, review supervision and exception reports within the region.
• Work with Partner Offices to coordinate promotions and title changes for stakeholders in your region.
• Coordinate required firm mailings with Compliance, Marketing, Operations, Service, and outside vendors.
• Participate in cross-functional/teams strategic initiatives and assist with other functions within compliance and business risk management as necessary.

What You Need

• Detail-oriented, conscientious, and energetic professional with the ability to think creatively.
• Ability to assist with creating new and improve upon current processes and procedures.
• Self-motivated with the ability to function independently without need of immediate direction, and cooperatively as a member of a team.
• Organizational skills and the ability to prioritize appropriately.
• Strong conflict management, decision making, and problem-solving skills.

Preferred Education and Experience

• Bachelor’s degree in a related field preferred
• A minimum of 2 years of risk, compliance, and/or supervision experience at a financial services firm and/or a federally registered investment advisor
• Knowledge of the Investment Advisers Act and relevant rules and regulations associated with operating as a federally registered investment advisor.
• Strong knowledge of and familiarity with software systems, including employee compliance, trading, and electronic communication review systems, as well as common office software such as Microsoft Outlook, Word, and Excel

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.

The total rewards expected for this role include:

• 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.

Salary : $70,000 - $89,075