Chief Counsel Lead

1 week ago


Chicago, Illinois, United States MMC Corporate Full time

Job Overview

The Chief Counsel at Marsh McLennan will serve as the trusted adviser to MMA Securities, MMA Asset Management, and MMC Securities, providing expert guidance on FINRA broker-dealer rules and SEC RIA matters.

About the Role

We are seeking a talented individual with 10+ years of experience in broker-dealer or investment advisor compliance to lead our Compliance programs and provide regulatory guidance for broker-dealer operations.

Key Responsibilities

  • Lead and continually evolve the MMA Securities, MMA Asset Management, and MMC Securities Compliance programs
  • Provide legal and regulatory guidance for broker-dealer operations
  • Plan, organize, and control day-to-day compliance responsibilities to ensure adherence to applicable laws and regulations
  • Act as the FINRA and SEC regulatory liaison for MMA Securities, MMA Asset Management, and MMC Securities

Required Skills and Qualifications

  • 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
  • 10+ years of experience in broker-dealer or investment advisor compliance, with retail investment advisor experience preferred

Benefits

We offer a competitive total rewards package including health and welfare benefits, tuition assistance, 401K savings and other retirement programs as well as employee assistance programs. The estimated salary for this role is $170,000 - $220,000 per year, depending on experience.

Work Environment

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.



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