Strategic Compliance Leader for Financial Institutions
7 days ago
We are seeking a seasoned Chief Counsel to join our Legal and Compliance team at Marsh McLennan.
OverviewMaintain 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.
- 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.
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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