Job Description

Mercer is recruiting for aproven andexperienced Senior Compliance Specialist /Compliance Officer to sit in our New York City, Boston, or St. Louis office. What can you expect? The team at Marsh McLennan will prepare you for a successful career and pr Mercer is recruiting for aproven andexperienced Senior Compliance Specialist /Compliance Officer to sit in our New York City, Boston, or St. Louis office. 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 the Senior Compliance Specialist /Compliance Officer, you will be responsible for providing advisory compliance guidance managing the firm's 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 Ability to manage multiple projects and priorities in a fast paced environment Excellent analytical and problem solving skills What's in it for you Work for a global company with a strong brand A culture of internal mobility, collaboration and extraordinary career opportunities Competitive pay and outstanding benefits to help colleagues and their families live better - physically, mentally, and financially Paid time off to give back through non-profit community service Employee Resource Groups which provide access to leaders, relevant volunteer and mentoring opportunities, and interactions with counterparts in industry groups and client organizations 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. Handle complex specialized compliance routines, such ascompliance testing, monitoring,research,trainingand awareness, data compilation and synthesis, reportdrafting, andtask management. 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 monitoring, policies and procedures, maintenance and evolution of core compliance functions, including electronic communications, personal securities trading, gifts and entertainment, sanctions, and political contributions. Assist with the development ofpolicies and proceduresto meet regulatory requirements. Draft, make recommendations, and amend compliance procedures. Conduct testing and implement enhancements to the firm's testing program. Support internal andexternal audits. Reviewmarketingand sales pieces 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 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. believes in building brighter futures by redefining the world of work, reshaping retirement and investment outcomes, and unlocking real health and well-being. Mercer's more than 25,000 employees are based in 44 countries and the firm operates in over 130 countries. Mercer is a business of (NYSE: MMC), the world's leading professional services firm in the areas of risk, strategy and people, with 76,000 colleagues and annual revenue of $17 billion. Through its market-leading businesses including , and , Marsh & McLennan helps clients navigate an increasingly dynamic and complex environment. For more information, visit . Follow Mercer on Twitter . Marsh McLennan Companies offers competitive salaries and comprehensive benefits. For more information about our company, please visit us at: . We embrace a culture that celebrates and promotes the many backgrounds, heritages and perspectives of our colleagues and clients. For more information, please visit us at: . Marsh McLennan Companies and its Affiliates are EOE Minority/Female/Disability/Vet/Sexual Orientation/Gender Identity