Broker Check

Careers

See Openings Below

Berthel Fisher Companies (BFC) is a national financial services firm which supports four unique companies designed to provide investment management and financial products and services to independent financial professionals and their clients.

Please check back often for new opportunities to join the Berthel Family.  Or send a cover letter and resume to humanresources@berthel.com

Berthel Fisher offers comprehensive benefits including:

  • Health, dental and vision insurance
  • Paid time off
  • Short term and long-term disability coverage
  • Life Insurance
  • On site fitness center

We offer a great working environment in a beautiful and professional office location. This is your opportunity 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.

RIA Support Specialist

We have the opportunity for a professional individual to assume the role of RIA Support Specialist.

The RIA Support Specialist will provide support for the RIA (Registered Investment Advisor) department, specializing in cashiering and new business submissions in the BFC Planning portal. The RIA Support Specialist will work with Financial Professionals to answer questions and resolve issues related to managed accounts.


Day to day functions include, but are not limited to:

  • Provide support to Financial Professionals
  • Provide various account maintenance duties (opening accounts, depositing funds, making transfers)
  • Provide daily service and surveillance of operational issues
  • Create and maintain RIA Procedures

Desired candidates will present themselves professionally and have excellent written and oral communication skills.  Candidate must have excellent customer service, problem solving, attention to detail and organizational skills.  Candidate must be proficient in word processing, database, spreadsheet, e-mail, and web-based software.


Previous experience in banking, insurance and/or securities business is helpful, but not required.  FINRA Series 7 and/or 65 Licenses preferred.


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

Compliance Support Specialist

We have the opportunity for an individual to assume the role of a full time Compliance Support Specialist

The Compliance Support Specialist provides assistance to the operations and compliance functions. After on the job training, the Compliance Support Specialist will assist in the supervision and training of financial professionals and sales assistants to ensure compliance with all rules and regulations of the firm and regulators. 

The ideal candidate has excellent data entry skills, is accurate and timely, and will work well in a team environment where excellent communication skills and a continual focus on customer service are essential.  Required skills include strong time management skills, an attention to detail, and the ability to multitask with numerous operational processes and multiple data input platforms.  Candidate must be proficient in typical office tools like word processing, database, spreadsheet, e-mail, and web-based software.  Previous experience in the banking, insurance and/or securities business is helpful, but not required.

 

Specific responsibilities include, but are not limited to:

  • Review new client account paperwork to ensure compliance with internal and regulatory compliance procedures
  • Coordinate with operations staff to ensure timely and accurate responses to internal and external clients
  • Process licensing requests for financial professionals in various jurisdictions
  • Assist in compliance reviews of advertising and sales literature including websites, social media, seminars, client letters and provide comments consistent with regulatory requirements
  • Communicate effectively on the phone and in written correspondence


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