Compliance Officer

Marsh McLennan • Boston, NY

8d • Hybrid

About The Position

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. You will be responsible for providing advisory compliance guidance regarding commercial activities that encompass both a broker-dealer and registered investment adviser; reviewing institutional marketing materials; providing training for business teams; coordinating testing and communication of testing results; and collaborating to implement enhancements across the commercial 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.

Requirements

• 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.

Nice To Haves

• 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.

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.

Benefits

• 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.
• health and welfare benefits
• tuition assistance
• 401K savings and other retirement programs
• employee assistance programs

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees