US Investments Commercial Compliance Leader

Marsh & McLennan Companies; New York (NY); On-site; USD 144,000 - 289,000; Full time

Job summary

A leading company in risk and strategy is seeking a US Investments Commercial Compliance Leader to oversee compliance programs and manage regulatory relationships. This role requires a strategic thinker with extensive experience in financial services compliance, offering a competitive salary and opportunities for professional development.

Benefits

Health benefits

Tuition assistance

401K

Professional development opportunities

Vibrant, inclusive culture

Qualifications

• 7-10 years of experience in financial services managing SEC and FINRA compliance.
• FINRA S7, S24, or S14 licenses required.
• Experience at an SEC-registered investment adviser preferred.

Responsibilities

• Design and execute a comprehensive compliance program.
• Oversee broker-dealer supervisory procedures.
• Maintain relationships with regulators and manage examinations.

Skills

Strategic thinking

Relationship building

Problem-solving

Communication

Organizational skills

Education

Bachelor’s Degree

JD (preferred)

Tools

Seismic

Red Oak

Saifr

Job description

Company: MMC Corporate

Description:

Mercer Investments is recruiting for a US Investments Commercial Compliance Leader who will work three days a week in a local office.

This position will be responsible for providing strategic and tactical advice related to broker-dealer and SEC RIA Sales and Marketing requirements, supporting Mercer’s investment management and consulting businesses in the US, and MMC Securities broker-dealer activities.

The US Investments Commercial Compliance Leader will be part of the Legal & Compliance team, working closely with other functional teams, especially MMCS leadership and Mercer Investments’ commercial and sales teams. This role will also serve as the MMC Securities CCO.

In this newly created role, you will have the opportunity to add value and make a significant impact within a fast-growing, dynamic business.

We will count on you to:

1. Design, execute, document, and report on a comprehensive commercial compliance program focused on legal and regulatory risk mitigation, collaborating with business colleagues to assess and reduce the firm’s risk profile.
2. Serve as the MMC Securities CCO, overseeing broker-dealer written supervisory procedures and compliance programs.
3. Maintain relationships with MMCS regulators and manage relevant examinations.
4. Be an expert in SEC, FINRA, NFA, ERISA, and other US sales and marketing rules, including private fund marketing.
5. Assess and recommend process and control improvements to further mitigate risks and support future business objectives.
6. Provide high-quality advice, challenge, and partnership on marketing and sales process improvements to meet business needs and growth.
7. Establish and oversee a framework of controls and processes to ensure compliance.
8. Manage compliance sales and marketing oversight, testing/monitoring, and governance processes.
9. Monitor regulatory developments, assess their impact, and guide relevant stakeholders on necessary modifications to compliance programs.
10. Collaborate with global legal and compliance teams and with international commercial leaders.

What you need to have:

1. A Bachelor’s Degree from a four-year college or university (JD preferred).
2. 7-10 years of experience in the financial services industry, managing SEC and FINRA marketing compliance processes or broker-dealer compliance programs.
3. FINRA S7, S24, or S14 licenses.
4. Strategic thinker with experience balancing commercial objectives and risk mitigation.
5. Ability to build and maintain professional relationships with key stakeholders.
6. Proactive, organized, and capable of multi-tasking to meet deadlines in a growing environment.
7. Independent, with good judgment and effective execution skills.
8. Positive attitude and creative problem-solving skills.
9. Strong communication skills, both written and oral.

What makes you stand out:

1. Experience at an SEC-registered investment adviser managing broker-dealer and marketing compliance programs.
2. Experience implementing workflows and frameworks for efficiency and risk mitigation (e.g., Seismic, Red Oak, Saifr).
3. Knowledge of Investment Company Act of 1940, ERISA regulations, and NFA Rules.

Why join our team:

• Opportunities for professional development, interesting work, and supportive leadership.
• A vibrant, inclusive culture with talented colleagues creating impactful solutions.
• Competitive benefits, rewards, and career opportunities enabled by our scale.

Marsh McLennan (NYSE: MMC) is a global leader in risk, strategy, and people, serving clients in 130 countries across Marsh, Guy Carpenter, Mercer, and Oliver Wyman. With over 90,000 colleagues and $24 billion in revenue, we help build confidence to thrive through diverse perspectives. For more, visit marshmclennan.com or follow us on LinkedIn and X. We are committed to diversity, inclusion, and flexible work environments, including hybrid work arrangements. Our office policy requires colleagues to work onsite at least three days a week, with designated 'anchor days'. The salary range for this role is $144,300 to $288,400, with total rewards including health benefits, tuition assistance, 401K, and more.