Berthel Fisher Companies (BFC) is a growing, national, financial services firm. BFC supports four unique companies that provide investment management and financial products and services to independent financial professionals and their clients.
We have the opportunity for the right candidate to assume the role of Senior RIA Specialist within BFC Planning, Inc., an SEC Registered Investment Advisor (RIA). The Senior RIA Specialist will provide support to independent advisors within their fee-based book of business and assist in workflow operations.
Essential duties include but are not limited to:
· Daily processing of new accounts, transfer and cashiering requests, fee bill reconciliation, and reviewing accounts on the custodial platforms for accuracy.
· Assist with managing the department workflow, develop processes and controls to ensure work Is done in accordance with regulatory requirements
· Establishes, administers and maintains policies, procedures and quality standards in a consistent and timely manner. Monitors the effectiveness and appropriateness of policies and procedures in relationship to financial professional and client satisfaction and operational requirements
· Works closely with leadership to develop and implement strategic goals and action plans for the RIA
· Create and distribute information to financial professionals on any new releases to policies and procedures from the firm or the custodians
Ideal candidate will have the desire to continuously improve and learn. Candidate must possess the ability to resolve issues, seek help when unsure, and provide professional but personal service to the advisors. Prior experience utilizing spreadsheets, email, and web-based software a plus.
Previous experience in banking, insurance and/or securities business is helpful, but not required. FINRA 65 License or equivalent required. Candidates will have the opportunity to pursue additional FINRA licenses.
Remote work is an option for candidates outside of the local area. Travel to the Cedar Rapids, Iowa office would be required periodically.
This position offers a benefit package that includes:
· 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
· Opportunity for career growth
· Onsite exercise facility
We offer you a great working environment in a modern and professional office building with ample parking. This position will play a key role in a fast-growing segment of the company and industry. Our culture is inclusive and focused on improving the lives of all stakeholders, from clients and advisors to our employees.
If you are interested in this opportunity, please send your cover letter, resume, and salary requirements.
Job Type: Full-time
- 401(k) matching
- Dental insurance
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Vision insurance
- 8 hour shift
Work Location: Remote