Compliance Officer, Finance & Banking

Join to apply for the Compliance Officer role at Marsh Mc Lennan .

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.

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 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, escape issues as appropriate and support formulation of responses, which may include responses to regulators, boards and other supervisory entities.

• 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

• 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

• 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

• 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 , or follow on Linked In 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 rea

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 $91,400 to $183,000.

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.