Marsh · 14 hours ago
Compliance Officer
Washington, DC
Full-time
Hybrid
Mid, Senior Level
$93K/yr - $187K/yr
5+ years expMarsh McLennan is a global leader in risk, strategy and people, advising clients in 130 countries. They are seeking an experienced Compliance Officer to provide advisory compliance guidance and manage compliance initiatives within their investment advising operations.
ConsultingInsuranceRisk Management
Responsibilities
Provide advisory compliance guidance regarding commercial activities that encompass both a broker-dealer and registered investment adviser
Review institutional marketing materials
Provide training for business teams
Coordinate testing and communication of testing results
Collaborate to implement enhancements across the commercial compliance program
Serve as subject matter expert on a variety of compliance areas
Perform both routine and unique compliance functions
Make recommendations based on compliance reviews
Escalate issues as appropriate
Support formulation of responses, which may include responses to regulators, boards and other supervisory entities
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
Help develop a robust global marketing review framework
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
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
Marsh provides insurance brokering and risk management services for enterprises.
10001+ employees
H1B Sponsorship
Marsh has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (26)
2024 (30)
2023 (39)
2022 (70)
2021 (34)
2020 (38)
Funding
Current Stage
Late StageTotal Funding
$0.21M2022-07-01Series Unknown· $0.21M
Leadership Team
L
Levee Brooks
Chief Operating Officer, North America
David Liston
US and Canada Chief Commercial Officer
Recent News
Insurance News in the United States
2025-12-13
2025-12-06
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