Compliance Analyst If you have a relentless, burning desire to succeed and want to share our vision of being "the most trusted for our professional knowledge, integrity, and personalized service", then we would like to hear from you! Carson Wealth Management Group is headquartered in Omaha, NE, but we serve clients across the nation. Our experienced, dedicated wealth management team is responsible for over $3 billion in Assets Under Advisement for high net worth families, business owners, professional athletes and institutions. We offer our clients Portfolio Management, Wealth Planning, Risk Management, Estate Planning and Tax Planning. We are seeking a motivated and energetic professional to assume the role of Compliance Analyst. This is a great opportunity for the up-and-comer in financial services. Do you desire to become a member of a fast-growing, well-respected team in the financial planning industry that has been a leader in the financial services industry for the past 20 years? Join a team that has been identified in the top 15 of all brokerage and banks in Barron's since 2008. The ideal candidate will be extremely professional, eager to learn, have a positive, can-do attitude and have the drive to grow with the organization. The position requires judgment, discretion, and confidentially. While the ideal candidate will be proactive and resourceful and will work primarily independently, we value teamwork and he/she will be an integral part of our team. This position reports directly to the Chief Compliance Officer and will have significant exposure to other members of the executive team. Responsibilities: Participate in designing the compliance testing of the firms policies and procedures Perform CCO approved testing to assess the adequacy of the firm's policies and procedures, including personal trading, business gifts and entertainment, political contributions, email & social media surveillance Gather information and draft disciplinary write ups for violations of Policies and Procedures and/or Code of Ethics Violations Assist in carrying out the firm's annual review and related documentation Draft various periodic reports and review documents for accuracy Maintain the compliance calendar Assist with the preparation of various regulatory filings, i.e. Schedule 13F, 13G, 13H Form ADV I, 2A & 2B Assist in marketing materials reviews, RFPs/DDQs and public communications (incl. company website) for compliance with applicable regulatory and company standards Participate in due diligence/oversight of firm critical service providers Assist CCO in preparing for and responding to regulatory inquiries and examinations from regulatory bodies Assist CCO in preparing and conducting internal compliance training programs Participate in cross-functional teams working strategic initiatives Qualifications/Skills: College Degree or requisite work experience required 2-3 years compliance experience in a fast paced environment, at a registered investment adviser or at compliance consulting firm preferred. Intermediate level of skill in Microsoft Office (Word, Excel, Outlook, PowerPoint, etc) Familiar with, or eagerness to learn new technology skills Ability to prioritize responsibilities and perform under pressure in a fast paced environment Superior written, verbal and interpersonal communication skills Ability to demonstrate confidence to proactively identify potential concerns that call for formal attention Flexibility and strong ability to multi-task while remaining highly organized with impeccable attention to detail Benefits: In exchange for your expertise, we offer a base salary, bonus potential, 401(k) plus matching, health benefits, and a great working environment in a newer professional West Omaha office location. This is your chance to play a key role in the continued success of our company. Our culture is fast-paced, motivational and focused on healthy living. Smokers need not apply.