Compliance Officer
Marsh McLennan
full-time
Posted on:
Location Type: Hybrid
Location: New York City • District of Columbia, Massachusetts, Montana, New York, Pennsylvania • 🇺🇸 United States
Visit company websiteSalary
💰 $91,400 - $183,000 per year
Job Level
Mid-LevelSenior
About the role
- Provide advisory compliance guidance
- Manage the firms regulatory filings across multiple regulatory bodies
- Conduct testing and collaborate to implement enhancements and solutions across the compliance program
- Serve as subject matter expert on a variety of compliance areas
Requirements
- BA/BS degree
- A minimum of 5 years of experience in relevant compliance or operations experience at an SEC registered investment adviser or service provider 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 and FINRA and ERISA regulation.
Benefits
- Health and welfare benefits
- Tuition assistance
- 401K savings and other retirement programs
- Employee assistance programs
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Soft skills
advisorycollaborationsubject matter expertise