What are the responsibilities and job description for the Chief Counsel & Chief Compliance Officer position at Marsh & McLennan Companies?
Company : MMC Corporate
Description :
We are seeking a talented individual to join our Legal and Compliance team at Marsh McLennan. This role can be based in NY, Boston, or Chicago. This is a hybrid role that requires working at least three days a week in the office.
The Chief Counsel and Chief Compliance Officer will serve as the trusted adviser to Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan Company (MMC) Securities, and will generally serve as an expert in FINRA broker-dealer rules and SEC RIA matters. Responsibilities will include the provision of legal counsel and regulatory guidance, executive-level leadership, development and execution of strategic vision, enhancement of testing and monitoring, and activating risk management controls. This position will directly lead a team of Legal and Compliance professionals, while also heavily relying on partnership with other Legal and Compliance teams.
We will count on you to :
- Lead and continually evolve the MMA Securities, MMA Asset Management, and MMC Securities Compliance programs.
- Provide legal and regulatory guidance for broker-dealer and institutional and retail investment advisor 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.
- Develop and execute a strategic vision for compliance programs that effectively manage risk and support business objectives.
- Serve as an expert in broker-dealer matters for affiliated entities of Marsh McLennan.
What you need to have :
What makes you stand out :
Why join our team :
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