Strategic Compliance Leader for Financial Institutions

7 days ago


New York, New York, United States Marsh McLennan Full time
Job Description

We are seeking a seasoned Chief Counsel to join our Legal and Compliance team at Marsh McLennan.

Overview

Maintain adherence to applicable laws and regulations in a fast-paced environment while providing expert guidance on FINRA Rules, Securities Act of '33, Investment Advisers Act of '40, and Investment Company Act of '40. The ideal candidate will have 10+ years of experience in broker-dealer or investment advisor compliance with retail investment advisor experience preferred.

Responsibilities
  • Develop and execute a strategic vision for compliance programs that effectively manage risk and support business objectives.
  • Act as the FINRA and SEC regulatory liaison for MMA Securities, MMA Asset Management, and MMC Securities.
  • Plan, organize, and control day-to-day compliance responsibilities.
  • Lead and continually evolve the MMA Securities, MMA Asset Management, and MMC Securities Compliance programs.
Requirements
  • JD and Bachelor's degree (B.A.) from a four-year college or university.
  • Must maintain an attorney's license in good standing in all states of issue.
  • Strong strategic leadership skills with a solid track record of effective execution.
  • Excellent verbal and written communication skills.
Benefits

Maintaining high levels of team orientation and interpersonal communication while managing multiple projects in a fast-paced environment is key. Our scale enables us to provide a range of career opportunities, benefits, and rewards to enhance your well-being.

$250,000 - $300,000 per annum based on location and experience.



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