Compliance Specialist

4 weeks ago

New York, New York, United States MMC Corporate Full time

Mercer, a place where extraordinary individuals can do their best work and lead their best lives We believe in camaraderie and collaboration, no matter what your role, level, experience or background.

Mercer is seeking candidates for the following position based in the New York(preferred) or Boston office:

Compliance Specialist

What can you expect?

  • The team at Mercer will prepare you for a successful career and provide you the opportunity to work with well-known investment advisers across the globe.
  • Work on a growing team of high-performing colleagues committed to teamwork and partnership.
  • Provide advisory compliance guidance; supporting the firm's marketing review program.
  • Have the opportunity to serve as subject matter expert on marketing review and applicable regulations, performing both routine and unique compliance functions.
  • Make recommendations based on compliance reviews, escalate issues as appropriate and support formulation of responses as a result of review and analysis of marketing collateral.

What's in it for you?

  • Work for a global company with a strong brand.
  • A culture of internal mobility, collaboration and extraordinary career opportunities.
  • Competitive pay and outstanding benefits to help colleagues and their families live better – physically, mentally, and financially.
  • Paid time off to give back through non-profit community service.
  • Employee Resource Groups which provide access to leaders, relevant volunteer and mentoring opportunities, and interactions with counterparts in industry groups and client organizations.

We will count on you to:

  • Play a critical role in ensuring that our investment advisory firm complies with the applicable regulations and guidelines set forth by regulatory requirements and Mercer standards regarding marketing materials and communications.
  • Support the US investments compliance marketing review process by conducting thorough and comprehensive reviews of marketing materials.
  • Collaborate with the respective business teams to provide guidance and recommendations on compliance requirements and best practices for marketing initiatives.
  • Escalate issues as appropriate, leveraging your attention to detail and analytical skills.
  • Manage, maintain, and update policies and procedures, training materials, and other guidance related to marketing.
  • Maintain accurate and organized records of marketing materials and compliance reviews.
  • Conduct testing in support of the firm's testing program.
  • Support internal and external audits.
  • Stay abreast of regulatory and legal developments and best practices governing investment advisers, investment companies and trust companies.

What you need to have:

  • BA/BS degree
  • 1-5 years of experience in relevant compliance or operations experience at an SEC registered investment adviser or service provider.
  • Experience reviewing marketing and sales content.
  • Interest in cultivating specialized knowledge of US Marketing Rules.
  • Knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933 and ERISA regulation.
  • Excellent attention to detail and analytical skills, with the ability to review and interpret complex regulatory requirements.
  • Ability to work independently and manage multiple projects simultaneously, while adhering to strict deadlines.
  • Proficient in using compliance software and tools for document management and tracking.

What makes you stand out:

  • High ethical standards and sound judgement.
  • Proven ability to establish relationships with key stakeholders and lead and influence to accomplish business objectives.
  • Eagerness to learn and develop specialized knowledge in investments compliance.
  • Communication skills and the proficiency in conveying ideas, information, and solutions clearly and effectively to others, both verbally and in writing.
  • Time Management and the skills to prioritize tasks, manage deadlines, and allocate resources efficiently to optimize problem-solving processes.
  • Proven ability to read, analyze, and interpret government regulations, trade journals and financial documents.

Mercer believes in building brighter futures by redefining the world of work, reshaping retirement and investment outcomes, and unlocking real health and well-being. Mercer's approximately 25,000 employees are based in 43 countries and the firm operates in over 130 countries. Mercer is a business of Marsh McLennan (NYSE: MMC), the world's leading professional services firm in the areas of risk, strategy and people, with more than 85,000 colleagues and annual revenue of over $23 billion. Through its market-leading businesses including Marsh, Guy Carpenter and Oliver Wyman, Marsh McLennan helps clients navigate an increasingly dynamic and complex environment. For more information, visit Follow Mercer on LinkedIn and X.

Marsh McLennan is committed to embracing a diverse, inclusive and flexible work environment. We aim to attract and retain the best people and embrace diversity of age background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race, religion and beliefs, sex/gender, sexual orientation or expression, skin color, veteran status (including protected veterans), or any other characteristic protected by applicable law. If you have a need that requires accommodation, please let us know by contacting

The applicable base salary range for this role is $60,700 to $121,400.

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.

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