Compliance Officer - Brokerdealer/Ia

This position has a requirement of working three days in a local 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 growing investment advisory firms focused on retirement plans and wealth management, plus an introducing broker-dealer with variable insurance clientele. You’ll work with a team of high-performing colleagues committed to teamwork and partnership. As a Compliance Officer, you will be responsible for providing advisory and broker-dealer compliance guidance; managing the firm’s regulatory filings across multiple regulatory bodies (e.g.

SEC, FINRA and MSRB); 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 oral Excellent online research skills Extensive knowledge of federal and state registration requirements Ability to manage multiple projects and shift priorities in a fast paced environment Excellent analytical and problem solving skills Strong project management 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 licensing and registration compliance process, and help streamline interactions with registered representatives, investment adviser representatives, dual hatter representatives, operations, human resources and external consultants. 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. Conduct testing in support of the firm’s compliance testing program.

Support internal and external reviews, examinations and audits. Occasional travel around the US is required. Stay abreast of regulatory and legal developments and best practices governing investment advisers and broker-dealers.

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, FINRA member broker-dealer, or service provider with a history of competence and increased responsibility Knowledge of Investment Advisers Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933 and ERISA regulation Willingness to obtain FINRA licenses (Series 7, Series 24) within the first year 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. Marsh McLennan (NYSE: MMC) is the world’s leading professional services firm in the areas of risk, strategy and people.

The Company’s 85,000 colleagues advise clients in 130 countries. With annual revenue of over $20 billion, Marsh McLennan helps clients navigate an increasingly dynamic and complex environment through four market-leading businesses. Marsh provides data-driven risk advisory services and insurance solutions to commercial and consumer clients.

Guy Carpenter develops advanced risk, reinsurance and capital strategies that help clients grow profitably and pursue emerging opportunities. Mercer delivers advice and technology-driven solutions that help organizations redefine the world of work, reshape retirement and investment outcomes, and unlock health and well being for a changing workforce. Oliver Wyman serves as a critical strategic, economic and brand advisor to private sector and governmental clients.

For more information, visit marshmclennan.com, or follow us on LinkedIn 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.

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 $87,900 to $175,900. The base pay offered will be determined on factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements. Decisions will be determined on a case-by-case basis.

In addition to the base salary, this position may be eligible for performance-based incentives. 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.