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Lead Compliance Officer

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New York City, NY

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Job Description
MMC Securities Lead Compliance Officer: As a Lead Compliance Officer of MMC Securities LLC, a FINRA broker-dealer, SEC registered investment adviser and NFA member, and a wholly owned subsidiary of Marsh & McLennan Companies Inc., you will be responsible for the overall securities compliance program of the firm. This position reports to the co-Presidents of the firm. Duties include maintaining, implementing and enhancing the firm’s compliance program to ensure compliance with all applicable laws and regulations, overseeing mandatory regulatory reporting obligations, communications with regulators, conducting mandatory risk assessments and designing and implementing the firm’s training program. This position also requires supervision of one (1) compliance professional. The incumbent’s responsibilities include supporting the firm’s investment advisory and broker-dealer lines of business. Specific Responsibilities: Designs, manages, updates and implements the firm’s compliance systems, policies and procedures. Advises on compliance and regulatory matters relating to 401(k) investment advisory rules, including applicable DOL and ERISA rules and regulations. Monitors changes in broker-dealer related rules and regulations, such as trade reporting, structuring and placing complex insurance linked securities products, and updates the firm’s policies and procedures as appropriate to reflect changes in law and best practices. Advises relevant trading desk and investment banking personnel and management with respect to Firm policy and procedures, applicable industry rules and regulations, and appropriate supervisory practices. Serves as the AML Lead Compliance Officer responsible for designing, managing, updating and implementing the Firm’s anti-money laundering and sanction screening program. Oversees activities related to covered trading desk from a securities compliance perspective Oversees the performance of compliance audits and reporting on the results. Interacts with firm’s regulators and assists with document production in connection with internal and external exams. Executes mandatory risk assessments and prepares reports for senior management. Responsible for developing remediation action plans and executing such plans. Reviews and follows up on personal trading activity to ensure compliance with Firm policies and applicable regulations. Responsible for frequent preparation and delivery of compliance updates and reports to senior management. Designs and executes the firm’s annual compliance training program. Provides counseling and advice on securities compliance-related matters to senior management and in support of securities compliance initiatives. Works closely with senior management and the compliance team to manage and meet deliverables in stated time frames. Qualifications 5-10 years of experience Series 7 and 24 FINRA licenses required. Prior experience at investment advisor/broker-dealer or 401k / defined contribution plan advisory firm a plus Solid understanding of FINRA and SEC broker dealer rules and regulations. Solid understanding of SEC investment adviser rules and regulations. Knowledge of DOL and ERISA a plus. Must possess excellent communication and organizational skills. Candidate must also demonstrate the ability to write clearly and concisely, close attention to detail and analytical thinking skills. Must possess strong interpersonal skills and public speaking skills to engage with senior management across various business lines. Able to work collaboratively with internal colleagues and external advisors. Competent with Microsoft Excel and other Office programs. Preferences: A J.D. and a member of a state bar in good standing. Professional experience with the SEC or FINRA a plus. Marsh & McLennan Companies is a global professional services firm offering clients advice and solutions in the areas of risk, strategy and people. Marsh is a leader in insurance broking and risk management; Guy Carpenter is a leader in providing risk and reinsurance intermediary services; Mercer is a leader in talent, health, retirement and investment consulting; and Oliver Wyman is a leader in management consulting. With annual revenue of $13 billion and approximately 60,000 colleagues worldwide, Marsh & McLennan Companies provides analysis, advice and transactional capabilities to clients in more than 130 countries. The Company is committed to being a responsible corporate citizen and making a positive impact in the communities in which it operates. We embrace a culture that celebrates and promotes the many backgrounds, heritages and perspectives of our colleagues and clients. For more information, please visit us at: Visit for more information and follow us on LinkedIn and Twitter @MMC_Global Marsh & McLennan Companies offers competitive salaries and comprehensive benefits and programs including: health and welfare, tuition assistance, 401K, employee assistance program, domestic partnership benefits, career mobility, employee network groups, volunteer opportunities, and other programs. For more information about our company, please visit us at: We embrace a culture that celebrates and promotes the many backgrounds, heritages and perspectives of our colleagues and clients. For more information, please visit us at: Marsh & McLennan Companies and its Affiliates are EOE Minority/Female/Disability/Vet/Sexual Orientation/Gender Identity employers.

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Company Profile
Marsh & McLennan Companies is a professional services firm like no other — a global network of more than 60,000 experts in risk, strategy, and people, united by an unusually collaborative culture that transcends business units and borders. We bring the best people together to help clients discern new possibilities and pursue them with success. For 146 years, we have grown by helping our clients prosper amid changing times and technologies, from the Industrial Revolution to the digital age. Our work today embraces many of society’s most complex challenges: sustainable business growth; the health, wealth, and performance of organizations' people; resource security; cyber security; economic instability; climate change; and terror threats.

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