Bernardi Securities, Inc. / Bernardi Asset Management LLC – Financial Operations Associate

Location: Northfield, IL

Firm description:

Bernardi Securities, Inc. (BSI) is a broker-dealer, specializing in active municipal bond portfolio management for private clients, public finance services, and fixed income capital market services. Bernardi Asset Management, LLC (BAM) is a fee only, SEC registered, investment advisory arm of Bernardi Securities, Inc. It is a wholly-owned subsidiary of BSI.

The Firm’s expertise is within the municipal bond market. BSI is headquartered in Northfield, IL with two additional satellite offices within the state. The Firm’s client base includes banks, corporations, insurance companies, charitable organizations, endowments, advisors, and high net worth individuals.

Position Summary:

This position supports the daily operations of the firm's financial operations department.

Primary Responsibilities:

Provide daily margin and loan calculations
Process invoices for payment
Provide support to month-end financial reporting
Run daily trading reports and reviewing for compliance and accuracy
Conduct monthly and quarterly compliance reports
Process new accounts and account maintenance, while upholding compliance standards
Maintain customer and report files
Provide backup to other members on the Financial Operations team, as needed
Role and responsibilities will increase contingent on FINRA qualifications

Qualifications:

Minimum of a BS/BA degree (or equivalent), accounting degree preferred
Ideal candidate will have a minimum of 3-5 years of experience in financial services
Detail oriented and extremely organized
Tech savvy and proficient with software applications (must be skilled in Excel; QuickBooks knowledge is a plus) and able to learn new systems and programs
Proven ability to work on multiple tasks at once
FINRA registration 7 and 24 preferred but not required initially
Must pass a background check

Ideal candidate has 3-5 years (or more) of experience working for a broker-dealer or investment advisor in some or all of the following areas:

Basic A/P accounting
Account onboarding KYC (Know Your Customer)
AML review (Anti-Money Laundering)
Trade reporting compliance (TRACE and MSRB)
FINRA regulatory compliance and reporting
Familiarity with municipal bond aspects
Prior experience with Pershing (or other clearing firm) good but not required

Benefits

Medical healthcare, dental, vision, life insurance, long term disability insurance, 401(k) after 1 year.

Compensation

$50,000 - 60,000

Contact:

Please send resume to: jobs@bernardisecurities.com

Bernardi Securities, Inc. & Bernardi Asset Management LLC are equal opportunity employers.

Bernardi Securities, Inc.

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