Compliance Officer
$93.2k/y-$186.7k/y
2 days ago
Highlight
HybridFull-timeSenior
Summary
Marsh McLennan is seeking an experienced Compliance Officer to join their team in St. Louis, MO. The role involves providing advisory compliance guidance regarding commercial activities for a broker-dealer and registered investment adviser.
About the Role
As a Compliance Officer, you will be responsible for reviewing institutional marketing materials, providing training for business teams, coordinating testing and communication of results, and implementing enhancements across the commercial compliance program. You will serve as a subject matter expert on compliance areas, perform compliance functions, make recommendations based on reviews, and support responses to regulators and supervisory entities.
About You
Required:
- 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.
- 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.
Preferred:
- Data analytics and visualization skills
- Strong interpersonal skills and sound judgement
- Proven ability to establish relationships with key stakeholders and lead 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.
Benefits
- Competitive total rewards package including health and welfare benefits, tuition assistance, 401K savings and other retirement programs, and employee assistance programs.
- Professional development opportunities and a supportive work environment.
Marsh McLennan
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 $23 billion and more than 85,000 colleagues, Marsh McLennan helps build the confidence to thrive through the power of perspective. Follow us on X at @MarshMcLennan.
St Louis, MO