Senior Compliance Specialist

About the role

Marsh is looking for a Senior Compliance Specialist to join its Compliance team at MMA Securities and MMA Asset Management (MMA Retirement & Wealth). The role is based in the New York office with a hybrid arrangement, including Boston as an additional location, with at least three days per week in the office. The specialist supports compliance programs, handles complex compliance routines and helps manage risk across product lines.

Key responsibilities

• Manage registration and onboarding of associated persons
• Run compliance reviews of gifts and entertainment, outside business activities, private securities transactions and other regulatory reviews
• Manage periodic and day-to-day compliance testing and monitoring
• Engage with the business through training, real-time guidance and projects
• Help develop policies and procedures, draft and amend compliance procedures
• Monitor investment and sales activities against guidelines and policies
• Support internal and external audits and exams, and manage regulatory filings
• Review marketing and sales materials for compliance
• Stay up to date with regulatory and legal developments

Required profile

• Bachelor's degree in business, finance, accounting, law or a related field
• Three to five years of compliance experience with an SEC-registered investment adviser or an SEC/FINRA-registered broker-dealer
• Working knowledge of the Investment Advisers Act of 1940, Securities Exchange Act of 1934, Securities Act of 1933, FINRA regulations and ERISA
• Ability to obtain a Series 6 or Series 7 license within the first year
• Current Series 6 or Series 7 license is a plus

What we offer

• Base salary range of $64,400 to $128,700, depending on experience, skills, location and certifications
• Health and welfare benefits, tuition assistance, 401K and other retirement programs, and employee assistance programs
• Paid time off for non-profit community service and Employee Resource Groups
• Performance-based incentives may apply