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Compliance Officer

Posted Jan 30
Full Time
Houston, Texas

What can you expect?

The team at Marsh McLennan will prepare you for a successful career and provide you the opportunity to work with growing investment advisory firms focused on retirement plans and wealth management, plus an introducing broker-dealer with variable insurance clientele. You’ll work with a team of high-performing colleagues committed to teamwork and partnership. 

As a Compliance Officer, you will be responsible for providing advisory and broker-dealer compliance guidance; managing the firm’s regulatory filings across multiple regulatory bodies (e.g. SEC, FINRA and MSRB); managing core compliance functions (e.g. personal securities trading, gifts & entertainment, etc.); conducting testing; and collaborating to implement enhancements and solutions across the compliance program. 

You will have the opportunity to serve as subject matter expert on a variety of compliance areas, and you’ll perform both routine and unique compliance functions. You will make recommendations based on compliance reviews, escalate issues as appropriate and support formulation of responses, which may include responses to regulators, boards and other supervisory entities.

We will count on you to:

  • Proactively identify compliance initiatives and respond to questions from business colleagues on the application of compliance programs.
  • Manage the licensing and registration compliance processes and help streamline interactions with registered representatives, investment adviser representatives, dual hatted representatives, operations, human resources and external consultants.
  • Make recommendations based on analysis and escalate issues as appropriate. Support formulation of responses which may include responses to regulators and other supervisory entities.
  • Manage, maintain, and update policies and procedures, training materials, and other guidance. 
  • Conduct testing in support of the firm’s compliance testing program. 
  • Support internal and external reviews, examinations and audits.
  • Occasional travel around the US is required.
  • Stay abreast of regulatory and legal developments and best practices governing investment advisers and broker-dealers.

What you need to have:

  • Excellent oral and written communications skills
  • BA/BS degree
  • A minimum of 5 years of experience in relevant compliance or operations experience at an SEC registered investment adviser, FINRA member broker-dealer, or investment-focused service provider with a history of competence and increased responsibility
  • Knowledge of Investment Advisers Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933 and ERISA regulation
  • Willingness to obtain FINRA licenses (Series 7, Series 24) within the first year
  • Comfort utilizing and assessing compliance technology platforms
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