Compliance Specialist

We need to output HTML fragment with sections: About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. Only include sections where there is real specific content. Must not repeat job title. Must not include Job ID. Must remove boilerplate. Must preserve all substantive info. We need to parse the posting. Let's extract sections: - About the role: The initial paragraph describing role: "Marsh & McLennan Companies, Inc. ("Marsh") is seeking a talented individual to join the Compliance team at MMA Securities and MMA Asset Management, collectively known as MMA Retirement & Wealth. This role will be based in New York office and offers a hybrid work arrangement along with additional location as Boston, with the flexibility to work remotely while requiring a minimum of three days per week in the office. As a Senior Compliance Specialist, you will contribute your expertise and experience to support the organization’s compliance programs and initiatives. You will have the opportunity to add value as a key contributor to the team. The team at Marsh will prepare you for a successful career and provide you the opportunity to work with well-known investment advisers across the country. You’ll work with a team of high-performing colleagues committed to collaboration and partnership." That's about the role. - Responsibilities: The "What’s in it for you:" is actually benefits, not responsibilities. Then "We will count on you to:" list of duties. That's responsibilities. List items: 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. Assist with 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: "What you need to have:" bullet list: 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: Possibly "What Will Set You Apart:" includes collaborative, proactive approach, strong communication, ability to build relationships, influence stakeholders, achieve business objectives, strong organizational skills, handle multiple priorities, self-motivated, commitment to continuous learning, Current Series 6 or Series 7 license. That could be Qualifications or Skills. The instruction says we have sections: Qualifications, Skills. We need to decide where to put items. Usually Qualifications are education/experience, Skills are abilities. But we already used Requirements for education/experience. Qualifications could be "What Will Set You Apart:" (preferred qualifications). Skills could be the abilities like collaborative, proactive, communication, relationship building, organizational, self-motivated, continuous learning, Series 6/7 license (though license is also a qualification). We need to avoid duplication. Let's treat: - Qualifications: "What Will Set You Apart:" items (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.) - Skills: maybe we could combine with Qualifications? But we need to avoid empty sections. Could we put Skills as the same list? Might be redundant. Perhaps we treat "What Will Set You Apart:" as Skills, and Qualifications as something else? But we already used Requirements for education/experience. Could we have Qualifications empty? Better to have Qualifications as the "What Will Set You Apart:" and Skills maybe not needed. However instruction says prefer a few substantive sections over many thin ones. So we could omit Skills if not distinct. But we need to include sections only when posting has real specific content. If we don't have distinct Skills content, we can omit Skills section. - Benefits: "What’s in it for you:" list: A company with a strong brand and a commitment to growth; A culture of internal mobility, collaboration and extraordinary career opportunities; 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 posting includes "The applicable 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. 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." That's pay and benefits details. Benefits already listed some; but we can still have Pay section with salary range and performance incentives. Benefits section already includes some benefits; but we can keep both. - Schedule: The posting mentions hybrid work arrangement, based in New York office and additional location Boston, flexibility to work remotely while requiring a minimum of three days per week in the office. Also later: "Marsh 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 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." That's schedule info. Thus we have sections: About the role, Responsibilities, Requirements, Qualifications, Benefits, Pay, Schedule. We must not include Job ID. Must not repeat job title. Must not include boilerplate like EEO etc. We removed those. Now produce HTML: use

for each section heading. Use

• for any list of duties/requirements/benefits. Use

  for prose. We need to decide which content is list vs prose. About the role: prose paragraph(s). Could be multiple paragraphs but we can combine into one

  . Responsibilities: list of duties. Use

  • each duty. Requirements: list: education, experience, working knowledge, ability to obtain license. Could be separate items. Qualifications: list of preferred qualifications (collaborative, proactive..., ability to build..., strong organizational..., self-motivated..., Current Series 6 or Series 7 license). Use
    • . Benefits: list from "What’s in it for you:" Use
      • . Pay: prose about salary range and performance incentives. Could be

        . Schedule: prose about hybrid work arrangement, three days per week, anchor day. Could be

        . Make sure to preserve all substantive information. Do not invent or summarize away detail. Must not include filler like "commensurate with experience". We have none. Check for any duplicated lines: we need to avoid repeating same content. Let's extract exact sentences. About the role paragraph: Combine: "Marsh & McLennan Companies, Inc. ("Marsh") is seeking a talented individual to join the Compliance team at MMA Securities and MMA Asset Management, collectively known as MMA Retirement & Wealth. This role will be based in New York office and offers a hybrid work arrangement along with additional location as Boston, with the flexibility to work remotely while requiring a minimum of three days per week in the office. As a Senior Compliance Specialist, you will contribute your expertise and experience to support the organization’s compliance programs and initiatives. You will have the opportunity to add value as a key contributor to the team. The team at Marsh will prepare you for a successful career and provide you the opportunity to work with well-known investment advisers across the country. You’ll work with a team of high-performing colleagues committed to collaboration and partnership." That's fine. Responsibilities list items exactly as given: - 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. - Assist with 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 list: - 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 list (What Will Set You Apart): - 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 list (What’s in it for you): - A company with a strong brand and a commitment to growth - A culture of internal mobility, collaboration and extraordinary career opportunities - 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 paragraph: Include base salary range, determination factors, performance-based incentives, total rewards package. "The applicable 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. 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." Schedule paragraph: Combine hybrid work arrangement details. "This role is based in the New York office with an additional location in Boston, offering a hybrid work arrangement that includes the flexibility to work remotely while requiring a minimum of three days per week in the office. All Marsh colleagues are expected to be in their local office or working onsite with clients at least three days per week, and office-based teams will identify at least one “anchor day” per week on