Compliance Officer

Marsh & Mclennan Companies, Inc. New York , NY 10007

Posted 6 days ago

Apply

This Job is not relevant Tell us why

Marsh McLennan's Legal, Compliance and Public Affairs (LCPA) department promotes a culture in which ethical, lawful, and risk mindful behavior is encouraged and reinforced. LCPA develops and implements policies and procedures, systems and controls, training and communications, monitoring activities, and management reporting to prevent, detect and respond to violations of law and company policies.

We are looking for a Marsh US Compliance Officer to join our team. Key offices include New York, NY; Atlanta, GA; Chicago, IL, Houston, TX; Los Angeles, CA; and San Francisco, CA with all US locations considered.

What can you expect:

Reporting to Marsh's Chief Compliance Officer for US, you will be responsible for identifying, analyzing and advising on an array of risk and compliance issues in the Marsh US Core Brokerage business.

What's in it for you:

A company culture founded in integrity, responsible teamwork and experience
A fast-paced dynamic environment where you will interface with colleagues across our businesses and with senior leadership
Corporate dedication to fostering a vibrant, inclusive, and diverse culture at work, in which every voice is heard

We will count on you to:

Support the Company's success and protect its reputation by advancing a culture of integrity and excellence and promoting high standards
Bring a strong background in effective insurance compliance programs and position yourself as a trusted advisor to senior business leaders and colleagues throughout the business
Bring a pragmatic approach to compliance that is centered on partnership to meet commercial objectives while identifying, managing and mitigating risk
Demonstrate subject matter expertise in one or more of the key areas of risk and compliance such as broker compensation, conflicts of interest, surplus lines, cybersecurity, privacy and data protection
Be well-versed in the legal and regulatory framework and internal best practices for professional service organizations including insurance brokers, stay abreast of legal and regulatory changes, and plan compliance programs to meet new requirements
Think strategically and collaborate effectively with business and operational colleagues and senior business leaders to problem-solve, implement process change, and promote compliance with applicable laws, regulations and policies
Lead the development of and deliver independently training content and internal guidance that enlivens the subject matter and engages the audience

What you'll need to have:

Minimum of 5 years relevant property & casualty insurance industry experience in compliance and/or operational capacity, preferably with a broker, insurance company, or insurance regulator
Working knowledge of key areas of regulation and/or risk
Understanding of monitoring processes and frameworks, including experience conducting or participating in reviews or fieldwork
Experience working collaboratively and effectively in cross-functional teams and/or in a matrix organization
Ability to interact with regulatory authorities in examinations, enforcement proceedings, or investigative contexts, and to assist in internal investigations as needed
Strong conviction for compliant and ethical behavior that you model with personal integrity and accountability
Proven ability to bring complex projects to successful and timely conclusions

What makes you stand out:

Clear and concise oral and written communication skills
Top-notch organization skills and the ability to analyze and refine business processes and workflows
Excellent responsivity to team and colleagues
Professional growth-oriented mindset evidenced by a desire to learn and improve continuously

Marsh McLennan(NYSE: MMC) is the world's leading professional services firm in the areas ofrisk, strategy and people. The Company's 83,000 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.Marshadvisesindividual and commercial clients of all sizes on insurance broking and innovative risk managementsolutions.Guy Carpenterdevelops advanced risk, reinsurance and capital strategies that help clientsgrow profitably and pursue emerging opportunities.Mercerdelivers advice and technology-drivensolutions that help organizations redefine the world of work, reshape retirement and investmentoutcomes, and unlock health and wellbeing for a changing workforce.Oliver Wymanserves as a critical strategic, economic and brand advisor to private sector and governmental clients. For more information, visitmmc.com, follow us onLinkedInandTwitteror subscribe toBRINK.

Marsh McLennan and its Affiliates are EOE Minority/Female/Disability/Vet/Sexual Orientation/Gender Identity employers.

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.

The applicable base salary range for this role is $88,000 to $176,000.

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.

Show Full Description

See how you match
to the job

Upload my resume

Download the
LiveCareer app and find
your dream job anywhere

Similar Jobs

View All

Want to see jobs matched to your resume?
Upload One Now!

Compliance Officer

Hold Brothers

Posted 1 week ago

VIEW JOBS Hold Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state regulatory requirements and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered. Essential Functions:<ul><li>The ideal candidate will be professional, analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and industry’s principles.</li><li>Continually improve Compliance Program for relevant entity by utilizing applicable regulations, risk management techniques, and business area knowledge to maintain and test relevant policies and procedures that comprise the compliance program.</li><li>Identify and react to changes in regulatory requirements impacting the broker/dealer.</li></ul><ul><li>Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Finds, interprets and implements directives and/or regulation that impact(s) the current compliance environment.</li><li>Execute on our broker-dealer compliance functions.</li><li>Work with the broker-dealer Operations and Trading teams to ensure regulatory compliance with applicable rules and regulations.</li><li>Complete the annual review of the broker-dealer’s compliance.</li><li>Manage broker-dealer core compliance obligations, including, registration processes, continuing education, annual training.</li><li>Update written supervisory procedures and draft desktop procedures for broker-dealer functions.</li><li>Assist with our regulatory and annual compliance examinations.</li><li>Monitor employee communications in accordance with the firm’s e-surveillance program.</li><li>Coordinating with federal and state regulators.</li><li>Planning, implementing and overseeing risk-related programs and Assisting with compliance questions and other needs.</li></ul>Requirements<ul><li>Bachelor’s degree in law, finance, business management or a related field.</li><li>3 – 5 years’ proven experience in a compliance officer role and broker/dealer-related and escalations.</li><li>Series 7 or equivalent required, Series 24 preferred or attained upon hiring.</li><li>Must be familiar with the FINRA CRD System and Gateway.</li><li>Broker-Dealer experience in Operations or Finance.</li><li>Knowledge of broker-dealer financial responsibility rules.</li><li>Good knowledge of legal requirements and procedures.</li><li>Highly-analytical with strong attention to detail.</li></ul><ul><li>Service-oriented; the ability to balance regulatory and policy standards along with a business perspective.</li><li>Exceptional organizational skills; the ability to effectively prioritize tasks, follow up and produce.</li><li>Working knowledge of MS Office suite including Word and Excel.</li></ul>Salary Range: $110,000 - $130,000

Compliance Officer

Virtus

Posted 3 months ago

VIEW JOBS Our employees are our most valuable asset.Job DescriptionOur employees are our most valuable asset.Job DescriptionAbout the TeamLegal and Compliance provides decision support to facilitate the operations of the business and minimize company risk and exposure.<ul><li>Legal includes a team focused on managing the overall legal affairs of the company, including corporate governance, SEC filings, regulatory matters, ligation, M&A and support for special projects, as well as an investment advisory team that provides legal support for investment products, manages governance affairs for the fund complex and fund boards, and supports fund and strategic initiatives.</li><li>Compliance supports and encourages an environment of high ethical standards and integrity throughout the company, with distinct teams focused on Broker-Dealer and Transfer Agent, Investment Adviser, and Fund compliance.</li></ul>Job PurposeThe Compliance Officer is a key member of a broader team responsible for oversight and execution of the Investment Adviser's compliance program, which includes ongoing compliance administration, new policy formulation, client reporting, risk assessments, testing and maintaining regulatory filings. Primary responsibilities include investment guideline monitoring and client trading oversight of portfolio managers/traders located in the New York office with opportunities to cross-train to assist other affiliated investment teams as well. The Compliance Analyst will also be responsible for reviewing marketing and related materials.Duties and Responsibilities<ul><li>Investment Guideline Monitoring and Coding to include: Real-time surveillance of trading activity using Bloomberg (CMGR and VGMR); Pre-trade compliance override reviews; Real time compliance query response for 20+ investment professionals in two time zones; Daily post trade investment guideline review by daily exception report; Daily counterparty rating review; Periodic manual checks for guidelines that cannot be coded; Code and test new/ revised guidelines; Maintain and update firm and client restricted lists; Maintain, review, and revise approved broker list; Maintain and review rules regarding minimum piece, corporate actions, and other operational limits on trading.</li><li>Oversight of client trading to include: Review of trade allocations, re-allocations, new issue allocations and performance fee allocations; Review same day buy/sell transactions; Review average price; Review commissions; Review opposite direction and opposite direction +1 transactions.</li><li>Prepare client and related certifications.</li><li>Review marketing and related materials to include: Review strategy books, RFPs, consultant databases, and other marketing materials.</li></ul>Qualifications<ul><li>Bachelor's degree or the equivalent combination of education and experience is required.</li><li>1 - 3 years of compliance experience in the investment advisory/asset management/mutual fund business.</li><li>Significant experience with Bloomberg and oversight of portfolio guidelines and trading.</li><li>Knowledge and experience with various types of fixed-income securities, investment products, including derivatives, and investment platforms.</li><li>Excellent oral and written communications skills; must be able to write effectively, and present analysis and conclusions in a persuasive manner.</li><li>Proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in Virtus systems and vendor applications as required to perform the duties of this position.</li><li>Regular and reliable attendance, able to work overtime as necessary to keep current with work.</li></ul>Salary Range: $73,200- $109,800The starting salary offer will vary based on the applicant's education, experience, skills, abilities, geographic location, internal equity, and alignment with market data.#LI-BS1

Compliance Officer

Jefferies Financial Group Inc.

Posted 3 months ago

VIEW JOBS Jefferies Group LLC, the largest independent, global, full-service investment banking and capital markets firm headquartered in the U.S. focused on serving clients for 60 years, is a leader in providing insight, expertise and execution to investors, companies and governments. We offer deep sector expertise across a full range of products and services in investment banking, equities, fixed income, asset and wealth management in the Americas, Europe and the Middle East and Asia. Jefferies Group LLC is a wholly owned subsidiary of Jefferies Financial Group Inc. (NYSE: JEF), a diversified financial services company.Founded in 2004, Jefferies Finance LLC, is a leading leverage loan arranger, investor and investment adviser owned equally by Jefferies Group LLC and MassMutual. Jefferies Finance and its subsidiaries manage over $14 billion across two primary business lines:<ul><li>Loan Underwriting and Arrangement: Jefferies Finance arranges, underwrites and syndicates leveraged loans for Sponsors and their portfolio companies globally to finance buyouts and corporate growth.</li><li>Credit Investment Management: Our private credit platform, Jefferies Credit Partners, is a leading direct lender and investment adviser that invests proprietary and third-party capital invested across comingled funds, separately managed accounts and CLOs in portfolios of senior debt investments made to private equity sponsor owned companies.</li></ul>Job Description:Jefferies Finance is looking to hire a Vice President within the Firm's legal and compliance team to assist with maintaining a robust compliance program for the Firm's investment advisory business.Primary Responsibilities:<ul><li>Manage the day-to-day regulatory compliance matters across the Firm's investment management business;</li><li>Provide review and comments to marketing materials and related disclaimers and disclosures, advise on foreign marketing rules and ensure compliance with relevant marketing regulations in the US, Europe and other relevant markets;</li><li>Prepare regulatory filings (including Form ADV, Form PF, CA DBO and other filings), annual reviews and risk assessments;</li><li>Assist with the monitoring and conducting of compliance testing, and prepare and update policies and procedures and related training materials;</li><li>Assist in periodic audits and SEC exams;</li><li>Provide review and comments to marketing materials and related disclaimers and disclosures, advise on foreign marketing rules and ensure compliance with relevant marketing regulations in the US, Europe and other relevant markets;</li><li>Prepare and update policies and procedures to ensure appropriate controls are in place to support and monitor the Firm's current and new business/products, ensuring consistency with group standards and procedures; and</li><li>Provide support for various ad hoc compliance issues and projects to support and enhance the Firm's regulatory compliance program.</li></ul>Qualifications:<ul><li>Candidates should have 6-10 years of relevant experience working with registered investment advisers, the Investment Advisers Act, the Investment Company Act and other rules and regulations relevant to private funds and investment advisory businesses.</li><li>Candidates must be able to adapt to and excel in a fast growing and evolving business with the ability to work independently, possessing strong problem-solving and organizational skills, and superior written and verbal communication skills.</li></ul>The salary range for this role is $130,000-$225,000.At Jefferies, we believe that diversity fosters creativity, innovation and thought leadership through the infusion of new ideas and perspectives. We have made a commitment to building a culture that provides opportunities for all employees regardless of our differences and supports a workforce that is reflective of the communities where we work and live. As a result, we are able to pool our collective insights and intelligence to provide fresh and innovative thinking for our clients.Jefferies is an equal employment opportunity employer. We practice equal opportunity for all, and all qualified applicants will receive consideration for employment without regard to race, creed, color, national origin, ancestry, religion, gender, pregnancy, age, physical or mental disability, marital status, sexual orientation, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by law. We are committed to hiring the most qualified applicants and complying with all federal, state, and local equal employment opportunity laws. As part of this commitment, Jefferies will extend reasonable accommodations to individuals with qualified disabilities, as appropriate, under applicable law.All employees must follow Jefferies' COVID-19 protocol policy, which is subject to change.

Apply