Compliance Analyst
CurrentThe postings on this site are my own and do not necessarily reflect the views of Carson Group Holdings LLC.
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@schwab.com
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1 phone found area 515
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LinkedIn matched
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Heather Neubauer is listed as Compliance Analyst at Carson Group, a with 150 employees, based in Omaha, Nebraska, United States. AeroLeads shows a work email signal at schwab.com, phone signal with area code 515, and a matched LinkedIn profile for Heather Neubauer.
Heather Neubauer previously worked as Operations Systems Support Manager at Charles Schwab and Advertising Principal at Securities America Inc.. Heather Neubauer holds Bachelor Of Applied Science (B.A.Sc.), Marketing/Marketing Management, General from Bellevue University.
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AeroLeads found 1 current-domain work email signal for Heather Neubauer. Compare company email patterns before reaching out.
Accomplished and detail-oriented professional with experience using technology and risk management skills to ensure company and client objectives are met within the retail and advisory financial services industries. With a degree in marketing management, graphic design, and a strong information technology background, bringing a customer focused approach to online engagements and transactions. Always looking at process improvement while keeping the client’s best interest in mind.FINRA Series 7, 24 NASAA Series 63
Listed skills include Customer Service, Social Media, Microsoft Office, Leadership, and 46 others.
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Omaha Metropolitan Area
The postings on this site are my own and do not necessarily reflect the views of Carson Group Holdings LLC.
Omaha Metropolitan Area
Communicated action plan progress to multiple levels of management via organization-wide messaging systems. Followed up on incidents to ensure the root cause was identified and relevant to long term solutions. Managed and coached two direct reports that adhered to deadlines and maintain and remediate service issues.• Developed and trained Associates on how to address and resolve technology and business issues to ensure seamless system availability.• Worked with minimal direction, often on topics of ambiguity.• Strong understanding of business impacts for overnight operations processing and strong decision-making skills to determine when it is necessary to wake business partner leadership members. • Communicate overnight processing updates to all business teams and leadership.
Greater Omaha Area
Reviewed content of all marketing materials used by independent financial advisors to verify alignment with industry regulations and company policies.• Support independent financial advisors and internal employees with compliance and marketing related inquiries.• Utilized best judgement to minimize risk to firm through any statements made in advertising and communications materials by rejecting or altering submissions as needed.• Review and run regulatory reports to assist with SEC and FINRA audit requests.
Greater Omaha Area
Supported registered representatives and internal employees with technology issues. Responded to calls and emails in a timely manner, while working on a team comprised of individuals with specialized skills.* Onboarded new employees and registered representatives; set up computers, email, and mobile devices.* Identified and troubleshooted technical issues and submitted tickets to internal development teams to resolve issues.* Collaborated with various departments to test and implement system enhancements.
108Th And Fort, Omaha Ne
Built and maintained the stores Facebook and Twitter pages, designed weekly and daily posts of relevant industry news, information, highlighted new products, and upcoming company events.• Created and advised on content for all store specific marketing campaigns and events, including paid boosted campaigns. • Researched and created content for products which included videos, write-ups, and photos in conjunction with the team dietitian. • Worked with all departments at the store to resolve customer issues, inquiries and to provide the best service to our customers.• Developed influencer relations through consistent, engaging social interactions.
Greater Omaha Area
Sourced and qualified candidates from social media platforms with expertise on Facebook, LinkedIn, Twitter, and Instagram platforms. Consulted candidates throughout their job search to pitch jobs and pay packages.• Mentored and trained new hires to the team.• Collaborated with marketing team on social media content to be created and posted to communicate key objectives and brand strategies for company pages and groups.
Greater Omaha Area
*I assist client with computer troubleshooting* Handled all client and internal employee calls and emails in a timelymanner, while working on a team comprised of individuals withspecialized skills.*Managed team budget*Created and updated Technology Support new hire training and trainednew hires*Recognized technical issues with troubleshooting and submitted ticketsto internal development teams to resolve issues.*Collaborated with various departments test and implement systemenhancements
Other employees you can reach at carsongroup.com. View company contacts for 150 employees →
Arnold Floyd
Colleague at Carson GroupVilla Park, Illinois, United States
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Beth Krelle
Colleague at Carson GroupOmaha, Nebraska, United States
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NJ
Nicole Jahn-Gruber (Iteffa)
Colleague at Carson GroupOmaha, Nebraska, United States
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GA
Graham Archer
Colleague at Carson GroupOmaha, Nebraska, United States
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Mario Olivares Avila
Colleague at Carson GroupEcatepec De Morelos, México, Mexico
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KR
Kate Rehberg, Mba
Colleague at Carson GroupOmaha, Nebraska, United States
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Isaiah Jones
Colleague at Carson GroupOmaha Metropolitan Area, United States
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Bob Wellman
Colleague at Carson GroupOmaha Metropolitan Area, United States
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AB
Ashley Buchanan, Aif®, Iaccp®
Colleague at Carson GroupOmaha, Nebraska, United States
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JA
Jack Ashburn
Colleague at Carson GroupOmaha, Nebraska, United States
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Activities and Societies: Dean's List
Activities and Societies: Dean's List Phi Theta Kappa
Quick answers generated from the profile data available on this page.
Heather Neubauer works for Carson Group.
Heather Neubauer is listed as Compliance Analyst at Carson Group.
AeroLeads has found 1 work email signal at @schwab.com for Heather Neubauer at Carson Group.
AeroLeads has found 1 phone signal(s) with area code 515 for Heather Neubauer at Carson Group.
Heather Neubauer is based in Omaha, Nebraska, United States while working with Carson Group.
Heather Neubauer has worked for Carson Group, Charles Schwab, Securities America Inc., Hy-Vee, and Aureus Nursing.
Heather Neubauer's colleagues at Carson Group include Arnold Floyd, Beth Krelle, Nicole Jahn-Gruber (Iteffa), Graham Archer, and Mario Olivares Avila.
You can use AeroLeads to view verified contact signals for Heather Neubauer at Carson Group, including work email, phone, and LinkedIn data when available.
Heather Neubauer holds Bachelor Of Applied Science (B.A.Sc.), Marketing/Marketing Management, General from Bellevue University.
Heather Neubauer is listed with skills including Customer Service, Social Media, Microsoft Office, Leadership, Social Media Marketing, Time Management, Marketing, and Communication.
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