Marsh · 14 hours ago
Portfolio & Trading Compliance Officer, Mercer Investments
New York, NY
Full-time
Hybrid
Mid, Senior Level
$93K/yr - $187K/yr
6+ years expMarsh 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 for clients and proprietary funds, focusing on regulatory compliance and guideline monitoring.
ConsultingInsuranceRisk Management
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
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
Company data provided by crunchbase