Cedar Rapids, IA
Berthel Fisher & Company is a financial services holding company with two subsidiary broker/dealer firms servicing over 550 representatives across the U.S. We have an immediate opening for a full time, experienced OSJ Manager.
Primary responsibilities of this position include, but are not limited to:
•Monitoring and ensuring Representatives and the Firm are compliant with rules and regulations of FINRA, SEC, and state securities departments
•Reviewing and monitoring transaction activity, exception and compliance reports and associated follow up
•Travel throughout the country to conduct on-site branch audits
•Supervision and training of regional compliance staff
Series 7 and 24 securities licenses are required. Candidate will be required to obtain Iowa insurance license immediately if doesn't currently hold. Candidates holding series 65 or 66 license will be preferred. 3-5 years experience in financial industry and previous management experience is preferred. Successful candidates will possess exceptional relationship building skills, strong communication skills, a keen eye for detail, and the ability to multi-task in a fast paced environment. Job includes approximately 25% travel.
Berthel Fisher offers comprehensive benefits package, including: health, dental, and vision insurance, a 401(k) plan, and the opportunity for career growth.
To apply: please email cover letter, resume, and salary requirements to firstname.lastname@example.org.