Compliance Specialist

About the role

MMA Retirement & Wealth is seeking a Senior Compliance Specialist to join the Compliance team at Marsh & McLennan Companies, Inc. ("Marsh"). The role is based in New York with a hybrid work arrangement including options to work from Boston. The position offers a competitive salary and benefits package.

Responsibilities

• Manage registration and onboarding of associated persons.
• Manage compliance systems and compliance review of gifts and entertainment, outside business activities, private securities transactions, and other regulatory reviews.
• Manage periodic and day-to-day compliance testing and monitoring activities.
• Routinely engage with the business through training, real-time guidance, and projects or larger initiatives.
• Aid in the development of policies and procedures to meet regulatory requirements.
• Draft, make recommendations, and amend compliance procedures.
• Monitor investment activities for compliance with investment guidelines and applicable policies and procedures.
• Monitor sales activities for compliance with broker-dealer guidelines and applicable policies and procedures.
• Support internal and external audits and exams.
• Manage regulatory filings for MMA Retirement & Wealth.
• Review marketing and sales pieces for compliance with MMA Retirement & Wealth standards and regulatory requirements.
• Stay abreast of regulatory and legal developments and best practices governing investment advisers and broker-dealers.

Requirements

• Bachelor’s degree in business, Finance, Accounting, Law, or a related field.
• Three to five years of relevant compliance experience with an SEC-registered investment adviser or an SEC/FINRA-registered broker-dealer, demonstrating increasing levels of responsibility and professional expertise.
• Working knowledge of the following regulations and securities laws: Investment Advisers Act of 1940, Securities Exchange Act of 1934, Securities Act of 1933, FINRA regulations, ERISA regulations.
• Ability to obtain a Series 6 or Series 7 license within the first year of employment.

Qualifications

• Collaborative, proactive approach with strong written and verbal communication skills.
• Ability to build relationships, influence stakeholders, and achieve business objectives.
• Strong organizational skills and ability to handle multiple priorities in a fast-paced environment.
• Self-motivated with a commitment to continuous learning.
• Current Series 6 or Series 7 license.

Benefits

• Competitive pay and outstanding benefits.
• Paid time off to give back through non-profit community service.
• Employee Resource Groups that provide access to leaders, relevant volunteer and mentoring opportunities, and interactions with counterparts in industry groups and client organizations.

Pay

The base salary range for this role is $64,400 to $128,700. 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.

Schedule

This role offers a hybrid work arrangement with the flexibility to work remotely while requiring a minimum of three days per week in the office. Office-based teams will identify at least one “anchor day” per week on which their full team will be together in person.