Compliance Officer

This job is with Marsh McLennan, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.

Mercer is looking to hire an experienced Compliance Officer to join our team in one of the following locations : New York City, Boston, St. Louis, King of Prussia, or Washington D.C.

What can you expect?

The team at Marsh McLennan will prepare you for a successful career and provide you the opportunity to work with well-known investment advisers across the globe. You'll work on a growing team of high-performing colleagues committed to teamwork and partnership.

As a Compliance Officer, you will be responsible for providing advisory compliance guidance; managing the firms regulatory filings across multiple regulatory bodies (e.g. SEC, NFA / CFTC, and FINRA); managing core compliance functions (e.g. personal securities trading, gifts & entertainment, etc.); conducting testing; and collaborating to implement enhancements and solutions across the compliance program.

You will have the opportunity to serve as subject matter expert on a variety of compliance areas, and you'll perform both routine and unique compliance functions. You will make recommendations based on compliance reviews, escalate issues as appropriate and support formulation of responses, which may include responses to regulators, boards and other supervisory entities.

To be considered for this career opportunity, we require the following knowledge, skills and abilities :

Excellent communication skills, both written and verbal

Excellent research skills

Extensive knowledge of US Marketing Rules

Ability to manage multiple projects and priorities in a fast paced environment

Excellent analytical and problem solving skills

Strong project management skills

We will count on you to :

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.

What you need to have :

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.

What makes you stand out :

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.

Why join our team :

We help you be your best through professional development opportunities, interesting work, and supportive leaders.

We foster a vibrant and inclusive culture where you can work with talented colleagues to create new solutions and have impact for colleagues, clients, and communities.

Our scale enables us to provide a range of career opportunities, as well as benefits and rewards to enhance your well-being.

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. With annual revenue of $24 billion and more than 90,000 colleagues, Marsh McLennan helps build the confidence to thrive through the power of perspective. For more information, visit marshmclennan.com, or follow on LinkedIn and X.

Marsh McLennan is committed to embracing a diverse, inclusive and flexible work environment. We aim to attract and retain the best people and embrace diversity of age background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race, religion and beliefs, sex / gender, sexual orientation or expression, skin color, veteran status (including protected veterans), or any other characteristic protected by applicable law. If you have a need that requires accommodation, please let us know by contacting reasonableaccommodations@mmc.com.

Marsh McLennan is committed to hybrid work, which includes the flexibility of working remotely and the collaboration, connections and professional development benefits of working together in the office. All Marsh McLennan colleagues are expected to be in their local office or working onsite with clients at least three days per week. Office-based teams will identify at least one "anchor day" per week on which their full team will be together in person.

The applicable base salary range for this role is $93,200 to $186,700.

The base pay offered will be determined on factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements. Decisions will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.

We are excited to offer a competitive total rewards package which includes health and welfare benefits, tuition assistance, 401K savings and other retirement programs as well as employee assistance programs.

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