Compliance Analyst, Audit

Job overview

The Compliance Analyst, Audit role is based in Omaha, NE, and requires travel 20–40% of the time to conduct branch examinations throughout the United States. Compensation is a starting annual base salary of $68,000–$75,000, with variable compensation potential. Carson serves financial advisors and investors and states a mission to be the most trusted in financial advice. The analyst supports compliance oversight by examining partner offices, reviewing surveillance and exception reports, assisting with testing and training, and helping address findings. The work contributes to adherence to financial services rules and the firm’s supervisory and risk controls.

What you'll do

• Conduct onsite and virtual branch examinations
• review supervisory, compliance surveillance, and exception reports
• follow up on issues and remediation
• monitor attestations, certifications, and disclosures
• assist with approved compliance testing
• help prepare and conduct training
• maintain compliance manuals
• participate in cross-functional strategic initiatives and other compliance and risk activities.

What we're looking for

Skills & competencies

compliance analyst, audit

carson group

omaha ne

financial services compliance

branch examinations

audit

supervisory monitoring

compliance testing

risk activities

series 7

series 66

20–40% travel

$68k–$75k base salary

Work arrangement

• Weekend coverage required

Benefits & perks

• Bonus potential
• 401(k) with company contribution
• paid time off
• parental leave
• medical, dental, and vision
• HSA and FSA
• life and AD&D insurance
• short- and long-term disability
• work/life benefits
• holistic wellbeing programs.

Why this role

Bachelor’s degree in a related field and Series 7 and 66 licenses are required, with licenses obtainable within one year; travel is required 20–40% of the time.

About the employer

Carson Group Holdings LLC is hiring for this role. Industry: Portfolio Management and Investment Advice. Sector: 52.