Compliance Support Specialist

Berthel Fisher Companies is a national financial services firm which supports four unique companies designed to provide investment management and financial products and services to independent financial advisors and their clients. We have an immediate opening for a full time Compliance Support Specialist.

The Compliance Support Specialist provides assistance to the operations and compliance functions. After on the job training, the Compliance Support Specialist will assist in the supervision and training of financial professionals and sales assistants to ensure compliance with all rules and regulations of the firm and regulators.

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 include strong time management skills, an attention to detail, and the ability to multitask with numerous operational processes and multiple data input platforms. Candidate must be proficient in typical computer tools, like documents, spreadsheets, email and databases. 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

·Process licensing requests for financial professionals in various jurisdictions

·Ensure work product is accurately assigned to appropriate persons in a timely manner (mostly same day)

·Communicate effectively on the phone and in written correspondence

This position offers comprehensive benefits, including:

·Health, dental and vision insurance

·401(k) program

·Employer paid life insurance

·Paid vacation, paid sick leave, paid holidays, paid birthday leave

·Employer paid short- and long-term disability coverage

·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.

Job Type: Full-time

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Physical Setting:

• Office

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday

Work Location: In person