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Rep Resources Department – Assistant Chief Compliance Officer

06.16.2019

Berthel Fisher Companies, a family of financial services companies including two subsidiary broker/dealer firms servicing financial advisors across the U.S. has an immediate opening for a full time Assistant Chief Compliance Officer.

The Assistant Chief Compliance Officer will have compliance responsibilities within the Berthel Fisher Companies Broker Dealers and the Registered Investment Advisors and will manage the Firm’s anti-money laundering program.

The key responsibilities of this role include, but are not limited to:

  • Provide day to day oversight, mentoring, and development of Compliance Department
  • Assist Chief Compliance Officer in monitoring, reviewing, and enforcing policies and procedures to comply with federal and state laws and regulations of the SEC and FINRA
  • Develop, implement, and administer the firm’s Anti-Money Laundering Program
  • Assist with regulatory exams and inquiries
  • Assist with review of Written Supervisory Procedures and other guidance provided to registered representatives and home office personnel

Candidate should have a Bachelor’s Degree, must hold FINRA Series 7, 24, and 66 licenses.  CAMS designation is preferred.  7-10 years of business experience in financial services serving in Compliance and regulatory role for both a broker dealer and RIA is required.

Successful candidate will be self motivated, able to work independently, and have proven ability to drive results through effective collaboration across multiple areas.  Candidate must have broad working knowledge of regulatory landscape for broker dealers, registered investment advisors, and have wide range of experience with investment products and the financial services industry.

This position offers comprehensive benefits, including:

  • Health, dental and vision insurance
  • 401(k) safe harbor contribution
  • Paid time off
  • Short term and long term disability coverage
  • On site fitness center

We offer a great working environment in a beautiful and professional office location. This is your chance to play a key role in the continued success of our company. Our culture is fast-paced, motivational and focused on improving our client’s lives.

If you are interested in this opportunity, please send your cover letter, resume, and salary requirements to humanresources@berthel.com.