Senior Compliance Specialist
Location: Saint Louis, Missouri, United States
Secondary Locations: Chicago,Illinois,United States;
Company: MercerJob ID R_056490-en Apply
Assist the Compliance Leader for Pavilion and Alternative Investments in developing and maintaining a strong compliance program in support of the regulated investment activities conducted by the Pavilion and Alternative Investment business divisions in the United States, which includes among other things regulatory filings, compliance testing and monitoring, compliance training, and maintaining written policies and procedures.
Handle complex specialized compliance routines, such as licensing, monitoring, research, training and awareness, data compilation and synthesis, report drafting, performance monitoring or assessment and task management for assigned area, country or geography. Make recommendations based on review and escalate issues as appropriate. Support formulation of responses which may include responses to regulators and other supervisory entities.
Review advertising and marketing materials for client presentations and in response to requests for proposals, and ensure those materials and responses comply with applicable investment advisory regulation.
Engage in oversight of third party asset managers and service providers that are utilized by the Pavilion and Alternative Investments businesses for client portfolios.
Take initiative in identifying Compliance initiatives and respond to questions from business colleagues on the application of Compliance programs.