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13 May 2021

Full-Time Compliance Coordinator

kourtney.folger@marshberry.com – Posted by kourtney.folger@marshberry.com Beachwood, Ohio, United States

Job Description

MarshBerry is currently seeking a Compliance Coordinator for our Beachwood, OH. The Compliance Coordinator supports the Compliance team in the execution of the MarshBerry Capital, Inc. compliance program. This position assists in maintaining books & records, onboarding broker-dealer clients and general administrative responsibilities.

The main responsibilities include:

  • Maintain broker-dealer books & records which includes understanding regulatory requirements for required books & records and ensuring all required records are archived as required.
  • Assist in the process of onboarding MarshBerry Capital, Inc. clients as needed based on the requirements of the Bank Secrecy Act.
  • Assist in the FINRA registration process for both the firm and individuals, including filing registration forms via FINRA’s Firm Gateway and facilitating the completion of the internal registration packet for new registered representatives.
  • Manage the personal brokerage statement review process; this includes sending required letters to brokerage firms, requesting duplicate statements, opening and reviewing statements for prohibited activities.
  • Assists in the review of communications, including but not limited to required review of electronic communications (email, LinkedIn, Teams messaging, etc.).
  • Work with Marketing to maintain an accurate do-not-call list.
  • Assist with information requests from various auditors, as necessary.
  • Help to create and administer Firm Element CE training.
  • Monitor FINRA Regulatory Element requirements to ensure registered representatives complete training timely.
  • Assist the CCO and OSJ Principal with various administrative tasks as needed.

Qualifications we are seeking:

  • High School diploma or equivalent required. Associates or Bachelor’s degree is preferred.
  • FINRA Series 7 or 79, 24 and 63 licenses are a plus.
  • 3+ years’ experience in a business environment required; 2-3 years in a broker-dealer environment preferred.
  • Proficient with technology; Microsoft Word, Excel, Power Point and Access or similar database. Advanced knowledge of Microsoft Office especially Excel and Power Point is strongly preferred.
  • Analytical, proactive problem-solving skills:  techniques to identify and resolve issues in a timely manner, gathers and analyzes information skilfully.
  • Accountability:  Ability to accept responsibility and be accountable for actions and conduct.
  • Confidentiality; maintains confidentiality at all times with proprietary information, internal and external communication.
  • Team oriented:  Positive and professional, able to show consideration for and maintain good working relations with co-workers and remains opens to others’ ideas and exhibits willingness to try new things.
  • Strong communication skills; both written and verbal with demonstrated creativity with regard to work.
  • Exceptional organization skills; using systematic methods to perform work and creativity to recommend or create new work methods or procedures.
  • Open to feedback; follows instructions, responds to direction and guidance, and solicits feedback to improve performance.

About MarshBerry:

Marsh, Berry & Company Inc. (MarshBerry) was founded in 1981 to provide consulting services in the financial services industry primarily to independent insurance agents, brokers and carriers. MarshBerry’s services include but are not limited to financial, operational, sales management, merger and acquisition advisory, peer-to-peer exchange and information services. We are primarily a domestic company with clients throughout all 50 states and have been the leading advisor for insurance broker merger and acquisition deals each year for more than a decade.

We are recognized in the insurance industry for providing innovative and customized solutions to our clients. Our mission is to help our clients learn, improve and realize their value. Our clients credit us for providing the vision, tools, and discipline to help them reach their strategic goals.

Our team of talented and driven employees has made us the successful, growing company we are today. MarshBerry strives to provide an environment where employees can learn, improve and realize their career goals. We offer our employee’s competitive benefits, new challenges, learning experiences and ownership opportunities.

To learn more about MarshBerry, visit www.marshberry.com.

We appreciate your interest in MarshBerry. As an equal opportunity employer, your application will be considered with regard to all laws which prohibit discrimination because of race, color, sex, religion, national origin, age, disability, military status, and genetic information, and requirements to take affirmative action in the hiring of minorities, including women, veterans, and those individuals with disabilities.

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How to Apply

Please use the link below to complete the online application. https://recruiting.ultipro.com/MAR1036MBCI/JobBoard/0127d5ea-e4e8-48ee-a74a-cc71dcd13133/OpportunityDetail?opportunityId=77c3884c-6c32-44f7-ae45-6d8f8126009e  

Job Categories: Equal Opportunities. Job Types: Full-Time. Salaries: 40,000 - 60,000.

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