Career Opportunities

Client Service Coordinator

Description

Bridgeworth, LLC Overview

Bridgeworth, LLC is a dynamic and growing wealth management and financial planning firm bridging our clients’ financial realities to their goals with offices in Birmingham and Huntsville. We foster an environment where the best ideas are free to rise to the top and people genuinely like and respect each other.  We strive to provide a quality and excellent client experience for all clients and a career path for every staff member. We are currently seeking an experienced Client Services Coordinator (CSC) to join our team in Birmingham, AL.

Job Description

The CSC will support the firm and select advisors in facilitating the client relationship through administrative and financial based tasks.

 Essential Job Duties & Responsibilities

  • Main point of contact for clients
  • Responding to questions and resolving issues/problems
  • Processing of client financial transactions and administrative duties
  • Managing workflow among additional team members
  • Preparing periodic reports and other data as required
  • Scheduling and preparing for client meetings

Education and Experience

  • Bachelor’s degree preferred
  • 1 – 3 years’ experience within the broker-dealer or registered investment advisor industry.

Skills and Abilities

  • Demonstrated ability to use Word, Excel, Outlook, and other computer programs/software
  • Ability to stay organized, multitask, set priorities, and work independently
  • Excellent written and verbal communication skills
  • Experience working in the financial or banking industry
  • Working knowledge of investments is a plus

Compensation and Benefits

  • Base salary
  • Company 401(k) and matching program
  • Medical coverage
  • Dental coverage
  • Life insurance coverage

Securities offered through LPL Financial. Member FINRA/SIPC. Investment advice offered through Bridgeworth LLC, a registered investment advisor and separate entity from LPL Financial.

Requirements

Compliance Officer

Description

Bridgeworth, LLC Overview

Bridgeworth, LLC is a Hybrid RIA associated with LPL Financial as its broker/dealer and maintains two custodial relationships. Our main office is located in Birmingham, AL with a branch office in Huntsville, AL.

We are a growing company with advancement opportunities for the right person.  The Birmingham Business Journal has named Bridgeworth as one of its best places to work.

Job Description

The Compliance Officer will support the Chief Compliance Officer in administering the BD and RIA compliance programs.

Essential Job Duties & Responsibilities
  • Provide assistance and guidance to financial advisers and staff regarding compliance issues, firm policies and procedures and industry regulations.
  • Review advertising pieces for compliance with firm policies and procedures and industry regulations.
  • Monitor and report on periodic compliance exception reports.
  • Identify suspicious activity within client accounts.
  • Review and monitor trading, exception and surveillance reports.
  • Personal securities trading reviews.
  • Email monitoring and review.
  • Conduct examination of firm’s branch office.
  • Assist in the preparation for regulatory examinations; respond to verbal and written inquiries and requests.
  • Other tasks as assigned.
Education and Experience
  • Bachelor’s degree.
  • 1 – 3 years’ experience within the broker-dealer or registered investment advisor industry.
  • Series 7 & 24 required must be obtained within 6 months of date of hire.
Skills and Abilities
  • Strong knowledge of FINRA, SEC and state regulations.
  • Strong knowledge of financial services products.
  • Strong research, investigative and interpretation skills.
  • Solid verbal and written communication skills.
  • Ability to research and interpret new rules and regulations.
  • Strong attention to detail.
  • Strong knowledge MS Office with ability to navigate technology systems used by the firm.
  • Familiarity with LPL Financial’s BranchNet system and Protegent a plus
Compensation and Benefits
  • Base salary
  • Company 401(k) and matching program
  • Medical coverage
  • Dental coverage
  • Life insurance coverage

Please apply via email only donna@bridgeworthfinancial.com, phone calls will not be accepted.

Requirements

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