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Compliance Support Specialist

Cedar Rapids, IA

Job Information:

Berthel Fisher Companies, a family of financial services companies including two subsidiary broker dealer firms and a Registered Investment Advisory firm with financial advisors across the U.S. has an immediate entry-level opening for a full time Compliance Support Specialist.
The Compliance Support Specialist provides assistance to the operations and compliance functions including Compliance Principals and Regional OSJ Managers. The Compliance Support Specialist assists in the supervision and training of financial advisors and sales assistants to ensure compliance with all rules and regulations of the firm and regulators, including FINRA, the Securities and Exchange Commission, and state securities departments.  

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 also include strong time management and attention to detail, as well as the ability to multitask with numerous operational processes and multiple data input platforms.  Candidate must be proficient in 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:

  • 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 including financial advisors
  • Process licensing requests for financial advisors 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 with financial advisors and their support staff  located throughout the country 

This position offers comprehensive benefits, including:
  • Health, dental and vision insurance
  • 401(k) safe harbor contribution 
  • 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 clients’ lives.

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

Applying for:

Compliance Support Specialist

Berthel Fisher & Company

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Posted 05/15/18

Job ID: 42170248