4201 42nd Street NE
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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.
We are seeking an Administrative Professional to join our team. We are looking for a professional, friendly, and outgoing individual to be the first impression of the Company and to offer administrative support across the organization.
Essential duties and responsibilities for the Administrative Professional include:
Required skills / qualifications include:
Our office hours are Monday-Thursday 8am-5pm and Friday 8am-4pm. This position may be filled as full time or part time. Please include in cover letter if you are interested in full time or part time and include available hours if seeking part time.
If you are interested in this opportunity, please send your cover letter, resume, and salary requirements to firstname.lastname@example.org.
We have the opportunity for a professional individual to assume the role of Branch Examiner. The branch examiner is responsible for the auditing functions of the Berthel Fisher Companies and its independent branch offices in line with FINRA rule 3110. Responsibilities of the branch examiner include, but are not limited to:
When not operating under pandemic-related travel restrictions, this position will require approximately 50% travel. Remote candidates will be considered.
Desired candidates will present themselves professionally and have excellent written and oral communication skills. Candidate must have excellent attention to detail and organizational skills. Previous audit, accounting, legal, and/or compliance experience preferred. FINRA Securities License 7 & 24 preferred. Working knowledge of Protegent system highly desired.
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:
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.
We have the opportunity for a self-motivated, professional individual to assume the role of Vice President of Business Development. The primary responsibility of the VP of Business Development is to facilitate the growth of Berthel Fisher Companies by engaging with, and attracting Financial Professionals. The VP of Business Development plays an important role in setting the impression of our organization.
Duties include, but are not limited to:
When not operating under pandemic-related travel restrictions, this position will require up to 50% travel.
Qualified candidates will have previous experience in the Financial Services industry and hold a FINRA Series 7 license. Desired candidates will present themselves professionally and have excellent written and oral communication skills. Candidate must have excellent attention to detail and organizational skills and must be self motivated.
This position has a base salary plus incentive. Remote candidates will be considered.