Compliance Leader, Pavilion/Alternative Investments
- St. Louis, MO
The team at Marsh & McLennan will prepare you for a successful career and provide exceptional networking opportunities. The Compliance Leader for Pavilion and Alternative Investments will play a critical role in establishing and maintaining a strong compliance program in support of Mercer Investments LLC, an SEC-registered investment adviser and subsidiary of Marsh & McLennan Companies (MMC). Let's make a difference together.
•Manage the compliance program in support of the regulated investment activities conducted by the Pavilion and Alternative Investment business of Mercer Investments LLC in the United States, which includes among other things regulatory filings, compliance testing and monitoring, compliance training, review of sales and marketing materials, and maintaining written policies and procedures.
•Manage certain critical components of Mercer's wider compliance program, including for example Mercer's personal trading program in the United States, which includes compliance testing and monitoring, and compliance training.
•Establish a culture of compliance by meeting regularly with business leaders and various stakeholders and by articulating regulatory expectations and Mercer's ethical standards.
•Handle complex compliance cases including responses to complaints or regulatory inquiries.
•Develop and implement policies, procedures and controls for the Pavilion and Alternative Investments businesses in line with US federal and state legal and regulatory requirements and in coordination with Mercer/MMC policy.
•Report to senior management of Pavilion and Mercer Alternatives on the compliance program, regulatory developments and any issues that require remediation; may participate as the compliance representative in meetings of Pavilion or Mercer Alternatives senior management
•Direct and manage staff responsible for ensuring company activities are in compliance with all regulatory requirements. Make decisions regarding employment, performance appraisals, training, and disciplinary actions.
•Contribute to and reinforce the MMC Legal, Compliance & Public Affairs (LCPA) Department's Strategic Plan or initiatives that impact the LCPA organization.
To be considered for this career opportunity, we require the following knowledge, skills and abilities:
•Graduate degree (law or business) preferred
•8 or more years of experience in relevant compliance or operations experience at an SEC registered investment advisor with a history of competence and increased responsibility
•Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933, ERISA and CFTC/NFA (CPO/CTA) regulations
•Knowledge of and working experience with the private offering rule and private fund requirements, including the prohibition against general solicitation, Form PF and Investment Company Act exemptions.
•Knowledge of and working experience with alternative investments, investment consulting and the endowment/foundation marketplace
•Knowledge of and working experience with Form ADV
•Experience supervising compliance staff
•Excellent communication skills, both written and verbal
•Excellent research skills
•Ability to manage multiple projects and priorities
•Excellent analytical and problem solving skills
Strong interpersonal skills and sound judgement
•Proven ability to establish relationships with key stakeholders and lead and influence to accomplish business objectives
•Strong change management skills
Marsh & McLennan Companies offers competitive salaries and comprehensive benefits. For more information about our company, please visit us at: http://www.mmc.com/. 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: www.mmc.com/diversity.
Marsh & McLennan Companies offers competitive salaries and comprehensive benefits. For more information about our company, please visit us at: http://www.mmc.com/ . 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: www.mmc.com/diversity .
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