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
Support the execution and oversight of the firm’s Anti-Money Laundering (AML) program through transaction monitoring, investigations, and regulatory compliance activities. Conduct analysis of financial activity to identify potential money laundering, fraud, or other illicit conduct. Maintain AML and Office of Foreign Assets Control (OFAC) program documentation, training, and governance processes to ensure adherence to regulatory requirements. Partner with stakeholders to strengthen compliance practices, improve processes, and support ongoing risk management initiatives.
What To Expect
- AML Program Governance & Compliance: Provide oversight of AML policies and standards governance to ensure documentation remains comprehensive and aligned with regulatory requirements. Manage AML and OFAC program recordkeeping and retention requirements. Ensure responsibilities are performed in accordance with applicable AML and OFAC regulations, including participation in required training and compliance with reporting requirements. Contribute to the development and maintenance of policies and procedures that support effective AML program management.
- Transaction Monitoring & Investigations: Perform investigations related to transaction monitoring, customer due diligence, and enhanced due diligence that may indicate money laundering, fraud, or terrorist financing. Analyze transactional data and monitoring alerts to identify irregular or suspicious activity based on historical client behavior and regulatory definitions. Monitor financial transactions and evaluate potential red flags. Escalate findings, alerts, and suspicious activity indicators to management as appropriate.
- Training & Program Support: Assist with the review, development, and delivery of AML program training for stakeholders. Support ongoing program enhancements, strategic initiatives, and process improvements related to AML and OFAC compliance.
- Collaboration & Communication: Communicate findings, concerns, and compliance risks clearly and professionally to leadership. Collaborate with stakeholders across the organization to support compliance objectives and strengthen risk management practices.
- Other Duties: Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.
What You Need
- Bachelor’s degree in Finance, Business, or a related field required.
- Minimum of five years of experience at a financial institution with AML or fraud investigation responsibilities required.
- Series 7 and Series 66 licenses required, or ability to obtain within one year required.
- Certified Anti-Money Laundering Specialist (CAMS) or similar AML certification preferred.
- Experience with Salesforce, FIS, LexisNexis, or similar compliance and financial systems preferred.
- Strong written, verbal, and interpersonal communication skills required.
- Advanced analytical and investigative skills required.
- Ability to manage multiple priorities and perform effectively in a fast-paced environment required.
- Strong organizational skills and attention to detail required.
- Ability to identify potential compliance concerns proactively and communicate them effectively required.
- Ability to collaborate effectively with stakeholders at multiple levels of the organization required.
EEO Statement:
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 $65,000 - 79,575.
- Variable compensation potential (Bonus and/or commissions)
- Competitive benefits including 401(k) with company contribution, PTO, Parental 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.