Compliance Coordinator

MarshBerry is growing! We are seeking a Compliance Coordinator to join our team. We have a people first, fast paced, collaborative culture with plenty of opportunity for growth. MarshBerry has been successful in achieving growth objectives because the trust our clients place in our talented team of professionals, and all MarshBerry colleagues play a critical role in directly or indirectly cultivating those trusted relationships. MarshBerry provides an environment where employees can learn, improve and realize their career goals. We offer competitive benefits, hybrid work schedules, new challenges, and learning experiences.

Job Details

Position Summary:

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

Responsibilities:

• Maintain broker-dealer books & records, which includes understanding regulatory requirements for required books & records and ensuring all required records are archived as required.
• Maintain insurance licensing for FirstChoice and key individuals.
• Manage compliance calendar for all MarshBerry regulated companies.
• Assist in the process of onboarding MarshBerry Capital, LLC clients and associated persons.
• Assist in the personal securities account statement review process; this includes sending required letters to financial firms, requesting duplicate statements, documenting receipt of statements and auditing files for completion.
• Assist with information requests from various auditors and other outside parties, as necessary.
• Assist in the FINRA firm element and regulatory element processes.
• Cultivate and maintain effective relationships with potential internal/external clients, partners and stakeholders that can directly or indirectly lead to revenue generation for all MarshBerry services.
• Assist the team with various administrative tasks as needed.

Selection Criteria

Education & Experience:

• 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.

Other:

• Maintaining confidentiality - Entrusted with, and voluntarily maintains privacy of, all classified information. Does not initiate gossip or the spreading of rumors. Encourages others to stop sharing inappropriate information and the spreading of gossip and rumors. Professionally and tactfully explains when unable to share requested information.
• Coachability – Responsive to direction given. Readily works with superiors and heeds feedback for improvement.
• Collaboration - Proactively seeks opportunities to work with peers and be part of a team. Capable of completing a task or project in conjunction with others. Appropriately includes others in the decision-making process.
• Develops relationships - Develops and maintains collaborative partnerships. Relates well to others at all levels of the organization.
• Attention to detail - Takes pride in the quality of one's work output. Naturally pays close attention to work and takes accountability for accuracy, consistency, and thoroughness.
• Customer service - Consistently demonstrates a "customer first" attitude. Ensures the customer has a complete and satisfactory experience in terms of products/services rendered and questions/concerns addressed.
• Prioritization - Organizes job duties. Meets deadlines. Aligns projects and tasks with corporate objectives. Ensures work being completed aligns with successful achievement of corporate, departmental, and team goals and deadlines issued.
• Process-oriented - Consistently follows procedures to ensure accurate completion of tasks. Utilizes data when making decisions and to identify inefficiencies and/or inaccuracies of standard operating procedures and makes suggestions for improvements.

Working at MarshBerry

Who We Are:

MarshBerry practices The Collaborative Way which encourages employees to adhere to these five principles: listening generously, speaking straight, being for each other, acknowledgement & appreciation, and honoring commitments. We are committed to fostering an environment of Diversity, Equity, and Inclusion. We strive to educate our current and potential employees in these areas, while continuing to promote a welcoming and inclusive environment for all.

What We Do:

MarshBerry provides consulting services in the financial services industry primarily to independent insurance agents, brokers and carriers, as well as wealth and retirement plan advisors. Our services include but are not limited to financial, operational, sales management, merger and acquisition advisory, peer-to-peer exchange and information services. We are recognized in the financial services industry for providing innovative and customized solutions to our clients, with whom we build trusted advisor relationships. At MarshBerry, 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.

It’s one thing to be recognized as experts in our field, it is another to be noteworthy based on the sentiment and feedback of our team. MarshBerry has been recently awarded the following:

• Crain’s Best Employers in Ohio
• The Nation’s Best and Brightest in Wellness
• North Coast 99
• Top Work Places – The Plain Dealer
• Weatherhead 100
• West Michigan’s Best and Brightest Companies to Work for

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.