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

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.

Administrative Professional 

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:

  • Operate multi-line phone system and direct callers to the appropriate personnel
  • Welcome on-site visitors and announce visitors to appropriate personnel
  • Maintain clean and professional work area and front lobby
  • Data entry into various systems
  • Cross train with Facilities Manager on duties to include mail pickup and processing, shipping, receiving, office supply maintenance and coordinating service with various building vendors.
  • Various administrative tasks including filing, photocopying, schedule tracking

Required skills / qualifications include:

  • Pleasant demeanor
  • Previous administrative experience
  • Experience using Microsoft Word, Excel, and Outlook
  • Ability to multitask, adapt to changing environment and handle frequent interruptions and shifts in priorities
  • Effective verbal and written communication skills
  • Great attention to detail and excellent organizational skills
  • Understand importance of confidentiality

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 humanresources@berthel.com.

Branch Examiner

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:

  • Development and implementation of the annual branch audit program
  • Conducting branch audits
  • Conducting internal testing of Berthel Fisher Companies policies, procedures, and internal controls
  • Report verbal and/or written reports to appropriate personnel
  • Provide Compliance Principal support as needed by assisting with review and approval of new business

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.


If you are interested in this opportunity, please send your cover letter, resume, and salary requirements 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.


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

Vice President of Business Development

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:

  • Collaborate with management and internal marketing department to establish and execute recruiting campaigns, plans, goals and solutions
  • Sourcing leads through databases, social media, phone calls and email campaigns
  • Coordinate onboarding of new Financial Professionals with internal departments
  • Develop relationships with outside recruiting firms
  • Organize and track data using various systems
  • Build and maintain relationships with previously recruited Financial Professionals

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.


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