Compliance Specialist

2 weeks ago

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.

**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.
- 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.

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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