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Marsh McLennan · 3 hours ago

Compliance Officer

New York, NY

Full-time

Hybrid

Mid, Senior Level

$93K/yr - $187K/yr

5+ years exp

Marsh McLennan is a global leader in risk, strategy, and people, and they are seeking an experienced Compliance Officer to join their team. The role involves providing advisory compliance guidance, managing compliance initiatives, and ensuring adherence to regulatory requirements across various investment activities.

Financial ServicesProfessional ServicesService Industry

Responsibilities

Proactively identify compliance initiatives and respond to questions from business colleagues on the application of compliance programs

Manage the US investments compliance marketing review process, and help develop a robust global marketing review framework

Make recommendations based on analysis and escalate issues as appropriate. Support formulation of responses which may include responses to regulators and other supervisory entities

Manage, maintain, and update policies and procedures, training materials, and other guidance

Maintain and enhance marketing review control framework

Conduct testing in support of the firms testing program

Support internal and external audits

Review marketing and sales content in an effort to confirm adherence to Mercer standards and regulatory requirements

Stay abreast of regulatory and legal developments and best practices governing investment advisers, investment companies and trust companies

Qualification

US Marketing RulesInvestment Company ActInvestment Advisers ActSecurities regulationsData analyticsProject managementAnalytical skillsChange managementCommunication skillsInterpersonal skills

Required

Excellent communication skills, both written and verbal

Extensive knowledge of US Marketing Rules

Excellent analytical and problem solving skills

Strong project management skills

BA/BS degree

A minimum of 5 years of experience in relevant compliance or operations experience at an SEC registered investment adviser or service provider with a history of competence and increased responsibility

Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933 and FINRA and ERISA regulation

Preferred

Data analytics and visualization skills

Strong interpersonal skills and sound judgement

Proven ability to establish relationships with key stakeholders and lead and influence to accomplish business objectives

Strong change management skills

Ability to handle multiple priorities in a fast-paced environment

Proven ability to read, analyze, and interpret government regulations, trade journals and legal documents

Benefits

Health and welfare benefits

Tuition assistance

401K savings and other retirement programs

Employee assistance programs

Company

Marsh McLennan

Glassdoor4.0

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.

Founded in 1871

New York, New York, USA

10001+ employees