Broker Check

Careers

See Openings Below

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

Legal Support Specialist

We have the opportunity for a professional individual to assume the role of Legal Support Specialist.  The primary job responsibilities for the Legal Support Specialist include:

  • Gather information and conduct research on written complaints, arbitrations, regulatory inquires subpoenas, etc.  Provide details and feedback to management as needed.
  • Assist with preparation of responses to regulatory inquiries and complaints.
  • Prepare and maintain log/files for complaints and inquiries and track deadlines.

Successful candidates will possess exceptional administrative and customer service skills.  Strong attention to detail and the ability to multi-task in a fast-paced environment and management of multiple deadlines are essential.  Previous experience in the legal, accounting or financial industry is helpful but not required.

This position 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.

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

OSJ MANAGER

We have the opportunity for a professional individual to assume the role of OSJ Manager.  The OSJ Manager is responsible for the supervision of Registered Representatives, Investment Advisor Representatives, Sales Assistants, Compliance Principals and Compliance Specialists to ensure all rules and regulations of the firm, FINRA, SEC, and State Securities Departments are followed.

Key responsibilities include, but are not limited to:

  1. Day to day management and support of assigned personnel and work items to ensure proper supervision of all activities related to assigned Representatives/Advisors
  2. Manage and monitor all ongoing training requirements for assigned Representatives, Advisors, and support staff
  3. Review all exception and compliance reports and follow up on any deficiencies identify in a timely manner
  4. Research issues and potential risks to the firm, taking appropriate action as necessary
  5. Review audit findings/reports and coordinate with Audit department and Representative/Advisor to correct any deficiencies
  6. Assist with regulatory and/or audit requests
  7. Escalate suspicious or unusual activity
  8. Manage verbal complaint process for assigned Representatives/Advisors

The ideal candidate will have strong attention to detail and the ability to identify regulatory issues and compliance concerns.  Candidate must have excellent problem-solving skills, work well in a team environment, and demonstrate top-notch communication skills and continual focus on customer service.

Candidate must have the ability to make regulatory and supervisory based decisions on a timely basis and possess strong knowledge of a variety of investment products and services.  Proactive collaboration with internal and external clients and ability to stay current with regulatory trends in the financial services industry will be essential.  Required skills also include strong time management and the ability to multitask with numerous operational processes and multiple data input platforms.  Candidate will be proficient in word processing, database, spreadsheet, email, and web-based software.

5-10 years of financial services industry experience and 3-5 years of supervisory experience is required.  Compliance experience is preferred.  FINRA series 7, 24, and 63 or 66 are required.  FINRA series 4 and 53 are preferred.  Must be willing to obtain Iowa Insurance License and additional FINRA Licenses as required.

This position may require up to 25% travel.

Please send a cover letter and resume to humanresources@berthel.com

Compliance Principal

We have the opportunity for someone to assume the role of Compliance Principal.  The Compliance Principal is responsible for enforcing the Firm’s policies and procedures to ensure compliance with federal and state laws, rules and regulations related to the securities industry, including FINRA, the Securities and Exchange Commission and state securities and insurance regulatory agencies.

Knowledge and Skills

The ideal candidate will have strong attention to detail and the ability to identify regulatory issues and compliance concerns when supervising day to day activities of registered representatives and/or investment advisor representatives. Candidates must have excellent problem-solving skills, work well in a team environment and demonstrate top-notch communication skills as well as a continual focus on customer service.

The ideal candidate must have the ability to make regulatory and supervisory-based decisions on a timely basis and possess strong knowledge of a variety of investment products and services. Proactive collaboration with internal and external clients and ability to stay current with regulatory trends in the financial services industry will be essential. Required skills also include strong time management skills and the ability to multitask with numerous operational processes and multiple data input platforms. The ideal candidate must be proficient in word processing, database, spreadsheet, e-mail, and web-based software.

Key Responsibilities include, but are not limited to:

  • Review new client account paperwork and trade activity within accounts to ensure compliance with internal and regulatory compliance procedures
  • Review communications with the public including written correspondence, sales literature, electronic communications, social media, seminars, and advertising materials and provide timely comments consistent with all firm and regulatory compliance procedures
  • Understand, enforce and train registered representatives on all requirements of the Written Supervisory Procedures manual and make recommendations on any issue where additional guidance is necessary to perform the supervisory functions
  • Monitor, review and approve registered representatives’ non cash compensation, outside business activity, and outside personal brokerage accounts for compliance with firm and regulatory compliance
  • Document, manage and escalate supervisory concerns through established supervision and escalation procedures as established in the Firm’s Written Supervisory Procedures
  • Coordinate with compliance and operations staff to ensure timely and accurate responses to financial advisors as well as internal departments.

This position may require up to 20% travel.

A Bachelors Degree in Business Administration, Finance, or similar is preferred but not required. Candidates will have a minimum of 3 years industry experience.

FINRA Securities Licenses 7 and 24 are required.  Willingness to obtain additional FINRA or State licenses as required.

This position offers comprehensive benefits, including:

  • Health, dental and vision insurance
  • Paid time off
  • Short term and long term disability coverage
  • Opportunity for career growth
  • Onsite exercise facility

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.