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 SVP, RIA Operations is a strategic leader guiding the management and implementation of operations for CWM, LLC. This dynamic role requires a strong understanding of Registered Investment Advisor (RIA) management and operations, combined with a commitment to customer service excellence.
The preferred candidate location is in or near Omaha, NE but are open to 100% remote candidates.
What To Expect
- The SVP, RIA Operations will lead and oversee the strategic direction, operations, and financial performance of the RIA Ops Department
- This role requires a dynamic leader with a deep understanding of RIA management, RIA operations, and customer service excellence
- Ensure the quality delivery of high-quality services to Carson Advisors and Clients, drive efficiency, and maintain compliance with all relevant regulations
- Drive efficiencies through data automation, RPA, and AI strategies to reduce risk and build scalability for the firm
- Lead initiatives to modernize the firm’s platform that result in expansion of the firm’s client base, enhanced service offerings, and improved client satisfaction
- Oversee daily operations of the RIA Operations department, ensuring efficient processes, enhanced productivity, and high-quality service delivery
- Assist in providing data, reporting, and analysis within the organization
- Manage the development, implementation and continuous improvement of policies, procedures and systems
- Develop and manage the department’s budget, ensuring financial targets are met
- Monitor financial performance, analyze variances and implement corrective actions as needed
- Lead, mentor, and develop a high-performing team, fostering a culture of excellence and continuous improvement
- Set performance goals, conduct regular evaluations, and provide coaching and progressional development opportunities
- Ensure the RIA’s operations comply with all relevant laws, regulations, and internal policies
- Prepare regular reports on the department’s performance for senior management
- Conduct detailed analysis of operational and financial data to inform decision making
- Assist the COO of Carson Group in setting strategy and partnering across the firm to ensure strategic objectives are met
- Cultivate strong working relationships with all business partners, communicate strategy, and resolve issues
- Assist in preparation and communication of critical strategy and business documents, including board-related presentations
- Performs other duties and projects as assigned
What You Need
- Demonstrates knowledge of, adherence to, monitoring and responsibility for compliance with SEC, state, and federal regulations and laws as they pertain to this position
- Strong understanding of RIA Operations and relevant regulatory requirements
- Strong analytical and problem-solving abilities
- Resolve any escalated issues within the group
- Proficiency in financial management and budgeting
- Required: Bachelor’s degree in Business Administration, Finance, or a related field
- Required: 10-12 years of experience in Financial Services, 5 years in a leadership role within an RIA
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.
