Jobs
>
New York City

    Compliance Specialist - New York, United States - MMC Corporate

    MMC Corporate
    MMC Corporate New York, United States

    2 weeks ago

    Default job background
    OTHER
    Description

    Mercer, a place where extraordinary individuals can do their best work and lead their best lives We believe in camaraderie and collaboration, no matter what your role, level, experience or background.

    Mercer is seeking candidates for the following position based in the New York(preferred) or Boston office:

    Compliance Specialist

    What can you expect?

    • The team at Mercer will prepare you for a successful career and provide you the opportunity to work with well-known investment advisers across the globe.
    • Work on a growing team of high-performing colleagues committed to teamwork and partnership.
    • Provide advisory compliance guidance; supporting the firm's marketing review program.
    • Have the opportunity to serve as subject matter expert on marketing review and applicable regulations, performing both routine and unique compliance functions.
    • Make recommendations based on compliance reviews, escalate issues as appropriate and support formulation of responses as a result of review and analysis of marketing collateral.

    What's in it for you?

    • Work for a global company with a strong brand.
    • A culture of internal mobility, collaboration and extraordinary career opportunities.
    • Competitive pay and outstanding benefits to help colleagues and their families live better – physically, mentally, and financially.
    • Paid time off to give back through non-profit community service.
    • Employee Resource Groups which provide access to leaders, relevant volunteer and mentoring opportunities, and interactions with counterparts in industry groups and client organizations.

    We will count on you to:

    • Play a critical role in ensuring that our investment advisory firm complies with the applicable regulations and guidelines set forth by regulatory requirements and Mercer standards regarding marketing materials and communications.
    • Support the US investments compliance marketing review process by conducting thorough and comprehensive reviews of marketing materials.
    • Collaborate with the respective business teams to provide guidance and recommendations on compliance requirements and best practices for marketing initiatives.
    • Escalate issues as appropriate, leveraging your attention to detail and analytical skills.
    • Manage, maintain, and update policies and procedures, training materials, and other guidance related to marketing.
    • Maintain accurate and organized records of marketing materials and compliance reviews.
    • Conduct testing in support of the firm's testing program.
    • Support internal and external audits.
    • Stay abreast of regulatory and legal developments and best practices governing investment advisers, investment companies and trust companies.

    What you need to have:

    • BA/BS degree
    • 1-5 years of experience in relevant compliance or operations experience at an SEC registered investment adviser or service provider.
    • Experience reviewing marketing and sales content.
    • Interest in cultivating specialized knowledge of US Marketing Rules.
    • Knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933 and ERISA regulation.
    • Excellent attention to detail and analytical skills, with the ability to review and interpret complex regulatory requirements.
    • Ability to work independently and manage multiple projects simultaneously, while adhering to strict deadlines.
    • Proficient in using compliance software and tools for document management and tracking.

    What makes you stand out:

    • High ethical standards and sound judgement.
    • Proven ability to establish relationships with key stakeholders and lead and influence to accomplish business objectives.
    • Eagerness to learn and develop specialized knowledge in investments compliance.
    • Communication skills and the proficiency in conveying ideas, information, and solutions clearly and effectively to others, both verbally and in writing.
    • Time Management and the skills to prioritize tasks, manage deadlines, and allocate resources efficiently to optimize problem-solving processes.
    • Proven ability to read, analyze, and interpret government regulations, trade journals and financial documents.

    Mercer believes in building brighter futures by redefining the world of work, reshaping retirement and investment outcomes, and unlocking real health and well-being. Mercer's approximately 25,000 employees are based in 43 countries and the firm operates in over 130 countries. Mercer is a business of Marsh McLennan (NYSE: MMC), the world's leading professional services firm in the areas of risk, strategy and people, with more than 85,000 colleagues and annual revenue of over $23 billion. Through its market-leading businesses including Marsh, Guy Carpenter and Oliver Wyman, Marsh McLennan helps clients navigate an increasingly dynamic and complex environment. For more information, visit Follow Mercer on LinkedIn and X.

    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. If you have a need that requires accommodation, please let us know by contacting

    The applicable base salary range for this role is $60,700 to $121,400.

    The base pay offered will be determined on factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements. Decisions will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.

    We are excited to offer a competitive total rewards package which includes health and welfare benefits, tuition assistance, 401K savings and other retirement programs as well as employee assistance programs.

  • ADAPT Community Network

    Compliance Specialist

    2 weeks ago

    ADAPT Community Network New York, United States

    **Why Join ADAPT?** · It's more than a job; it's a calling. It's where passion meets purpose. ADAPT Community Network, formerly United Cerebral Palsy (UCP) of NYC provides a multitude of services to people with developmental disabilities. At ADAPT, we are 3,000 strong, and it tak ...

  • New York City Housing Development Corporation (HDC)

    Compliance Specialist

    2 weeks ago

    New York City Housing Development Corporation (HDC) New York, United States

    · **Position Summary**: · The Compliance Specialist reports to the Assistant Vice President of Compliance and is responsible for monitoring and evaluating compliance within HDC's Low Income Housing Tax Credit (LIHTC), Tax Exempt Bond (TEB), and Taxable Bond (TB) properties. · ** ...

  • Sun River Health

    Compliance Specialist

    1 day ago

    Sun River Health Manhattan, United States

    Sun River Health provides the highest quality of comprehensive primary, preventative and behavioral health services to all who seek it, regardless of insurance status and ability to pay, especially for the underserved and vulnerable. Sun River Health is a Federally Qualified, Non ...

  • MMC Corporate

    Compliance Specialist

    7 hours ago

    MMC Corporate New York, United States

    Mercer, a place where extraordinary individuals can do their best work and lead their best lives We believe in camaraderie and collaboration, no matter what your role, level, experience or background. · **Compliance Specialist** · **What can you expect?** · - The team at Mercer w ...

  • MetroPlusHealth

    Medicare Compliance Specialist

    1 week ago

    MetroPlusHealth New York, United States

    **Empower. Unite. Care.**: · **MetroPlusHealth** is committed to empowering New Yorkers by uniting communities through care. We believe that Health care is a right, not a privilege. If you have compassion and a collaborative spirit, work with us. You can come to work being proud ...

  • Upwardly Global

    Contract and Compliance Specialist

    2 weeks ago

    Upwardly Global New York, United States

    **Title: Contract and Compliance Specialist** · **Department: Finance** · **Reports to: Director of Budget and Grants Compliance** · **Location: New York, San Francisco, Chicago or DC** · **FLSA Status: Exempt** · **About the Organization** · Over the years, Upwardly Global has s ...

  • The College Board

    HR Compliance Specialist

    3 weeks ago

    The College Board New York, United States

    HR Compliance Specialist (temp) · - College Board - Global Strategy & Talent- work location · - is regularly commutable for you. · Type: This is a temp position expected to last 3-6 months from the start date · - Anticipated Start date: May 7 · - About the Team · - The Talent tea ...

  • DocGo

    Compliance and Audit Specialist

    1 week ago

    DocGo New York, United States

    TITLE: COMPLIANCE & AUDIT SPECIALIST · - SALARY: $72,500-$82,000 · - LOCATION: DocGo HQ, 35 W 35th St. New York, NY 10001 · - EMPLOYMENT TYPE: Full Time, On-Site · - BENEFITS: Medical, Dental, and Vision (with company contribution), Paid Time Off, 401k · ABOUT DOCGO: · - DocGo is ...

  • FMC Corporation

    Environmental Compliance Specialist

    3 weeks ago

    FMC Corporation Newark, United States

    FMC Corporation is a global agricultural sciences company dedicated to helping growers produce food, feed, fiber and fuel for an expanding world population while adapting to a changing environment. FMC's innovative crop protection solutions - including biologicals, crop nutrition ...

  • Starbucks

    Lead HR Compliance Specialist

    3 weeks ago

    Starbucks New York, United States

    **Now Brewing - Lead HR Compliance Specialist -#tobeapartner** · **From the beginning, Starbucks set out to be a different kind of company**. One that not only celebrated coffee and its rich tradition but also brought a feeling of connection. We are known for developing and suppo ...

  • EF Hutton

    Wealth Management Compliance Specialist

    3 weeks ago

    EF Hutton New York, United States

    **The Company** · EF Hutton is a fast-paced, high-growth, global investment bank founded by experienced investment professionals that have collectively financed over $250 billion for public and private companies alike. EF Hutton offers strategic advice and financing solutions to ...

  • Eastern International College

    Academic and Compliance Specialist

    3 weeks ago

    Eastern International College Jersey City, United States

    The Academic and Compliance Specialist (ACS) leads and coordinates the development of new academic programs and ensures regulatory compliance with State and accreditation standards and procedures. The ACS also coordinates, formulates, and conducts faculty professional development ...

  • NewYork-Presbyterian Hospital

    Environment of Care Compliance Specialist

    1 week ago

    NewYork-Presbyterian Hospital Manhattan, United States

    **Environment of Care Compliance Specialist - Facilities** · This position is responsible for monitoring and tracking the organization's compliance with, and also providing regulatory expertise and guidance as it relates to The Joint Commission's Environment of Care (EOC), Life S ...

  • NYC Careers

    Bob- Environmental Compliance Specialist

    1 week ago

    NYC Careers New York, United States

    **BOB- Environmental Compliance Specialist**: · - Apply**BOB- Environmental Compliance Specialist**: · - Agency: DEPARTMENT OF TRANSPORTATION · - Posted on: 05/24/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: No exam required · Department · Qualit ...

  • Legal Marketing & Staffing, LLC

    Compliance Specialist

    3 weeks ago

    Legal Marketing & Staffing, LLC New York City, United States

    Manage and monitor employee personal securities trading, political contribution requests, gifts and entertainment requests, and outside business activities via a compliance software program. Perform confidential background checks of potential investo Compliance Specialist, Compli ...

  • Sun River Health

    Compliance Specialist

    1 week ago

    Sun River Health Manhattan, United States

    Sun River Health provides the highest quality of comprehensive primary, preventative and behavioral health services to all who seek it, regardless of insurance status and ability to pay, especially for the underserved and vulnerable. Sun River Health is a Federally Qualified, Non ...

  • Global Commodities Trading Company

    Compliance Specialist

    2 weeks ago

    Global Commodities Trading Company New York, United States

    Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is ...

  • West Side Federation for Senior and Supportive Housing

    Compliance Specialist

    3 weeks ago

    West Side Federation for Senior and Supportive Housing New York, United States

    Job Description · Compliance Specialist · Summary Description · Reporting to the Assistant Director of Compliance, the chief responsibility for the Compliance Specialist is to assist in achieving quality compliance with the requirements of the WSFSSH's external funders and reg ...

  • Marsh & McLennan Companies

    Compliance Specialist

    2 weeks ago

    Marsh & McLennan Companies New York, United States

    Company: · Mercer · Description: · Mercer, a place where extraordinary individuals can do their best work and lead their best lives We believe in camaraderie and collaboration, no matter what your role, level, experience or background. · Mercer is seeking candidates for the f ...

  • West Side Federation for Senior and Supportive Housing

    Compliance Specialist

    1 week ago

    West Side Federation for Senior and Supportive Housing New York, United States

    Job Description · Compliance Specialist · Summary Description · Reporting to the Assistant Director of Compliance, the chief responsibility for the Compliance Specialist is to assist in achieving quality compliance with the requirements of the WSFSSH's external funders and reg ...