Marsh McLennan · 5 months ago
Portfolio & Trading Compliance Officer, Mercer Investments
New York - 1290
Full-time
Hybrid
Mid, Senior Level
$91K/yr - $183K/yr
6+ years expMarsh McLennan is a global leader in risk, strategy, and people, and they are seeking a Portfolio & Trading Compliance Officer to join their Compliance team at Mercer. This role is critical in developing and administering the portfolio and trading compliance program, ensuring adherence to regulatory and portfolio guidelines while collaborating with various functional teams.
Financial ServicesProfessional ServicesService Industry
Responsibilities
Support the process of designing and implementing guideline monitoring systems and practices to ensure proper pre-trade and post-trade controls
Work with system providers and vendors on rule creation, rule testing and rule maintenance
Monitor portfolio guideline compliance; research potential issues and collaborate with other teams to come to resolution
Perform reporting and analysis to detect guideline breaches and monitor all outstanding issues through resolution
Participate in ad hoc and/or strategic projects, such as process developments and improvements, scenario analysis, and technology testing
Contribute to trading best practices, including governance of best execution
Qualification
Required
Minimum 6-8 years of relevant experience in the investment management industry and strong knowledge of investment instruments
Familiarity with investment-related regulations and portfolio monitoring tools
Strong analytical and critical thinking skills, and excellent attention to detail
Effective verbal and written communication skills, ability to work in a team environment, and capable of managing projects effectively
Ability to exercise sound independent judgement to resolving problems or identifying issues requiring escalation, take charge and drive to conclusions
Preferred
Undergraduate degree in Finance, Economics, or similar fields preferred
CFA designation or active status in the CFA program
Experience on sell-side trade desks or working closely with buy-side investment portfolio managers
Working knowledge on investment-related monitoring applications, or experience covering investment businesses that utilize quantitative modeling, asset allocation, or overlay strategies
Benefits
Health and welfare benefits
Tuition assistance
401K savings and other retirement programs
Employee assistance programs
Company
Marsh McLennan
Marsh McLennan (NYSE: MMC) is a global leader in risk, strategy and people, advising clients in 130 countries across four businesses: Marsh, Guy Carpenter, Mercer and Oliver Wyman.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$11.2B2024-10-30Post Ipo Debt· $7.25B
2024-02-14Post Ipo Debt· $1B
2023-09-06Post Ipo Debt· $1.6B
Leadership Team
Joe Hayes
Senior Vice President, COO Private Client Services
Katherine Brennan
SVP & General Counsel
Recent News
2025-12-01
MarketScreener
2025-11-21
2025-10-17
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