Carson Group · 3 hours ago
Regional Supervision Manager
Omaha, NE
Full-time
Onsite
Senior Level, Lead/Staff
$70K/yr - $89K/yr
10+ years expCarson Group is a financial services company that prioritizes client trust and value. They are seeking a Regional Supervision Manager to provide supervisory oversight, ensure compliance with regulatory standards, and support advisors and field offices in maintaining a consistent supervisory framework.
AdviceEducationFinancial ServicesMarketing
Responsibilities
Review and approve daily supervisory items, including trading activity, alternative investments, outside business activities, and other system-based submissions
Monitor and resolve escalated items across supervision and surveillance platforms
Identify supervisory risks and take appropriate action to mitigate exposure and ensure compliance with regulatory and firm standards
Conduct scheduled weekly, monthly, quarterly, and annual supervisory reviews, including Department of Labor reviews, suitability assessments, ABP and TBP outreach, and continuing education follow-up
Review prohibited product activity and exception-based activity and issue Letters of Education or Caution when appropriate
Respond to advisor and partner inquiries by providing timely, consistent guidance on supervisory expectations
Support onboarding and training for new hires by reinforcing supervisory requirements and follow-up expectations
Ensure escalations and missing information are addressed promptly and accurately
Coordinate with internal control functions, including Surveillance, Operations, Audit, and AML, to address identified risks and improve supervisory processes
Contribute to enterprise-level compliance initiatives by sharing insights, trends, and recommendations
Prepare supervisory reports and maintain accurate documentation to support regulatory requirements, internal audits, and compliance initiatives
Ensure supervisory actions and outcomes are clearly documented and aligned with firm policies
Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives
Qualification
Required
Strong understanding of the Investment Advisers Act and related regulatory requirements required
Experience using compliance and supervision systems, including Salesforce, SMARSH, Eagle Eye, iCapital, SIMON, and trade surveillance tools required
Excellent organizational, analytical, and written and verbal communication skills required
Preferred
Minimum of ten years of compliance or supervision experience in financial services or with a registered investment adviser required
Series 7 and Series 67 licenses preferred
Benefits
401(k) plus matching
Health benefits
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
Holistic Wellbeing Programs
Company
Carson Group
Carson Group serves financial advisors and investors through its businesses.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
unknownKey Investors
Bain Capital
2021-07-14Private Equity
Leadership Team
L
Liz Fishbaugh
Vice President, Business Development
Danielle Fava
Chief Strategy Officer (CSO)
Recent News
2026-01-17
GlobeNewswire
2026-01-16
2026-01-13
Company data provided by crunchbase