Senior Compliance Specialist
Location: Boston, Massachusetts, United States
Company: MercerJob ID R_039117-en Apply
- Handles complex specialized compliance routines, such as licensing, monitoring, research, training and awareness, data compilation and synthesis, report drafting, and task management for assigned area, country or geography. Makes recommendations based on review and escalates issues as appropriate. Supports formulation of responses which may include responses to regulators and other supervisory entities.
- Reviews marketing and sales pieces in an effort to confirm adherence to Mercer standards and regulatory requirements.
- Assists a more senior Compliance role with the development of policies and procedures to meet regulatory requirements. Drafts, makes recommendations, and amends compliance procedures.
- Proactively identifies Compliance initiatives and responds to questions from business colleagues on the application of Compliance programs. Advises colleagues on licensing issues and resolves licensing in jeopardy.
- Assists with various regulatory filings for Mercer’s registered investment advisers, including Form 13F, and Form ADV.
- Monitors investment activities for compliance with client guidelines and colleague adherence to policies, procedures, and other compliance requirements.
- Conducts due diligence on subadvisors for adherence to regulatory requirements and compliance best practices.
To be considered for this career opportunity, we require the following knowledge, skills and abilities:
- BA/BS degree
- 3 – 5 years of experience in relevant compliance or operations experience at an SEC registered investment advisor 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, ERISA and CFTC/NFA (CPO/CTA) regulations
- Knowledge of Regulation D and various private fund rules.
- Excellent communication skills, both written and verbal
- Excellent research skills
- Ability to manage multiple projects and priorities
- Excellent analytical and problem solving skills
- 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
Marsh & McLennan Companies offers competitive salaries and comprehensive benefits. For more information about our company, please visit us at: http://www.mmc.com/. 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: www.mmc.com/diversity.