Marsh McLennan is a global professional services firm working across risk, strategy, and people-related advisory services. Its businesses include Marsh, which provides insurance brokerage and risk management; Guy Carpenter, focused on reinsurance and capital strategies; Mercer, serving clients in health, wealth, and career consulting; and Oliver Wyman, specializing in strategy, economics, and brand consulting. With a workforce of more than 85,000 employees worldwide, Marsh McLennan brings together expertise across finance, consulting, marketing, and related professional services. The company’s hiring landscape spans roles supporting client advisory, risk analysis, business strategy, consulting, and operational teams across its four businesses.
Senior Compliance Specialist - Investment Adviser and Broker-Dealer
Support compliance programs for Marsh’s investment adviser and broker-dealer businesses. Oversee regulatory reviews, monitoring, filings, audits, and compliance procedures.
United States
Massachusetts
New York$64,400 – $128,700 / year
HybridFull-timeMiddleSeniorEnglish RequiredComplianceDescription
- Oversee registration and onboarding for associated persons
- Administer compliance systems and review gifts and entertainment, outside business activities, private securities transactions, and other regulatory matters
- Conduct routine and ongoing compliance testing and monitoring
- Partner with business teams through training, timely guidance, projects, and broader initiatives
- Help create policies and procedures that satisfy regulatory obligations
- Draft, recommend, and update compliance procedures
- Monitor investment activity against applicable investment guidelines, policies, and procedures
- Review sales activity for adherence to broker-dealer guidelines, policies, and procedures
- Assist with internal and external audits and regulatory examinations
- Oversee regulatory filings for MMA Retirement & Wealth
- Review marketing and sales materials for compliance with MMA Retirement & Wealth standards and applicable regulations
- Track regulatory and legal developments, along with leading practices for investment advisers and broker-dealers
- Recommend actions arising from compliance reviews, escalate concerns, and help prepare responses for regulators, boards, and other supervisory bodies
Requirements
- Bachelor’s degree in business, finance, accounting, law, or a related discipline
- Three to five years of relevant compliance experience at an SEC-registered investment adviser or an SEC- or FINRA-registered broker-dealer
- Practical knowledge of the Investment Advisers Act of 1940
- Practical knowledge of the Securities Exchange Act of 1934
- Practical knowledge of the Securities Act of 1933
- Familiarity with FINRA regulations
- Familiarity with ERISA regulations
- Ability to earn a Series 6 or Series 7 license during the first year of employment
- Collaborative and proactive working style with strong written and verbal communication
- Capacity to build relationships, influence stakeholders, and deliver business objectives
- Excellent organization skills with the ability to manage competing priorities in a fast-paced setting
- Self-directed approach and dedication to ongoing learning
Benefits
- Competitive compensation package with comprehensive benefits
- Paid time off for nonprofit community service
- Employee Resource Groups offering leadership access, volunteering, mentoring, and industry or client engagement
- Opportunities for professional growth and development
- Health and welfare coverage
- Tuition support
- 401(k) savings plan and other retirement programs
- Employee assistance resources
- Hybrid work flexibility
- Flexible working environment
- Performance-based incentives may be offered