Senior Portfolio Compliance Specialist, Mercer Investments

Marsh McLennan•Bunnell, FL

2d•Hybrid

About The Position

We are seeking a talented individual to join our Compliance team at Mercer, a Marsh business. This role will be based in Boston or New York. This is a hybrid role that has a requirement of working at least three days a week in the office. This position is responsible for administering our portfolio compliance program for our clients and proprietary funds and supporting portfolio-related compliance reporting for our U.S. and Canada business. The role is responsible for implementing controls and processes to ensure compliance with all applicable regulatory and portfolio guidelines. This role affords the opportunity to work closely with different functional teams within our business, including Investment Management, Client Service and Operations, and help shape our global portfolio compliance approach. The successful candidate can expect to acquire knowledge of global regulatory regimes while developing a strong network within the team and also across the firm. This role reports directly to the Chief Compliance Officer, Canada Investments who oversees the US &C Investments Portfolio Compliance team.

Requirements

Minimum 6 to 8 years of relevant experience in the investment management industry; knowledge of investment instruments including fixed income and derivatives
Familiarity with investment-related regulations and portfolio monitoring tools
Undergraduate degree in Finance, Economics, Accounting or similar fields
Critical thinking skill 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
Ability to work independently and provide guidance to other staff members

Nice To Haves

CFA designation or active status in the CFA program
Good knowledge on investment-related applications (Charles River, Bloomberg)

Responsibilities

Oversee the day-to-day portfolio compliance functions, including new guideline implementation, pre-trade and post-trade controls and monitoring, alert investigation and resolution
Manage rule creation, rule testing and rule library maintenance, and oversee service providers where applicable
Perform reporting and analysis to detect guideline breaches and monitor all outstanding issues through resolution
Support fund reporting relating to portfolio compliance, liquidity risk and derivative risk monitoring
Implement, maintain and enhance portfolio compliance procedures and controls
Contribute to a multi-year global investment platform project where portfolio compliance platform will be migrated
Manage and provide training and guidance to team members