Director, Operations

3 weeks ago

Omaha, United States Carson Group Holdings, LLC Full time
Job DescriptionJob Description

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

The Director of Operations and Supervision will oversee the Operations & Supervision departments for Carson Group Partners {CGP).

What To Expect
  • Direct and manage the support of the Partners once they complete their onboarding process
  • Effectively work with managers of various departments to improve the Partner experience
  • Identify areas of opportunity for improvement and lead change furthering the Carson value
  • Develop strong relationships with Partners to gain comprehensive knowledge of how Advisors need to interact, process business, and continue to improve the Partner experience increasing their value proposition once joining CGP.
  • Proactively work with Advisors to identify potential issues to resolve, and setting expectations and timelines.
  • Key point of contact for all strategic partnerships to make sure we are working as efficiently as possible.
  • Review current and develop new operational procedures to increase the user experience and reporting technology of the operation system.
  • Handle escalations from Partner Offices when needed.
  • Manage internal stakeholders meeting with them weekly, establishing/monitoring goals and conducting semi-annual reviews.
  • Oversee Service team to ensure daily support is provided effectively and with a high touch.
  • Design and implement ongoing compliance testing and supervision to validate the efficacy of internal controls and to address risk associated with the Firm's products, services, clients and operations.
  • Identify advisory compliance risks inherent in existing or new business processes and controls, assess whether the control framework is effectively managing such risks, and revise or create compliance reviews in response to such risks.
  • Apply compliance obligations and norms cross-functionally within a broad risk framework.
  • Interface and build relationships with other control functions to understand and address tactical and high-level issues and risk in the organization as part of a cohesive risk framework. Work with relevant internal teams to tailor surveillance and testing activities to risk and business areas of focus.
  • Further develop, iterate upon and implement a second-line compliance testing and supervision/surveillance program, and constantly reassess that program against business, regulatory and risk inputs.
  • Design and oversee daily, monthly and quarterly supervision activities.
  • Synthesize and structure compliance surveillance and testing data to create meaningful insights and management reporting.
  • Supervise and develop a team of compliance professionals and represent compliance on cross functional, enterprise level committees.

What You Need

  • Ability to lead a team that can service, develop, organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
  • Strong service back minded individual required
  • Strong problem resolution skills, identification of proactive improvement and execution of change
  • Knowledge of Financial Advisor office tools (i.e. Orion, Redtail, SalesForce, TD Ameritrade, Fidelity, etc.) preferred
  • Knowledge of Microsoft Office, including Word, Access, Excel, and Outlook
  • Use effective oral and written communication skills sufficient enough to interact effectively with and guide financial advisors and their staff on various issues.
  • Analytical and research skills
  • Attention to details
  • Compile statistics and reports
  • Planning and organizational skills
  • Project and time management skills
  • Manage multiple projects with precision
  • Written and verbal communication skills
  • Occasional Travel

Preferred Education and Experience

  • 5+ years of experience in the financial industry is required

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.

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