Chief Counsel & Chief Compliance Officer

About the position

We are seeking a talented individual to join our Legal and Compliance team at Marsh McLennan. This role can be based in NY, Boston, Chicago. This is a hybrid role that has a requirement of 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 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, the enhancement of testing and monitoring, and activating risk management controls. This position will directly lead a team of Legal and Compliance professionals, but will also heavily rely on partnership with other Legal and Compliance teams.

Responsibilities

• 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.

Requirements

• JD and Bachelor's degree (B.A.) from a four-year college or university.
• Must maintain an attorney's license in good standing in all states of issue.
• 10+ years of experience in broker-dealer or investment advisor compliance, with retail investment advisor experience preferred.
• Deep knowledge of FINRA Rules, Securities Act of '33, Investment Advisers Act of '40, and Investment Company Act of '40.
• Proven experience with the current and proposed regulatory environment (FINRA, SEC, ERISA).

Nice-to-haves

• Strong strategic leadership skills with a solid track record of effective execution.
• Excellent verbal and written communication skills, with the ability to simplify complex regulations for stakeholders.
• Ability to manage multiple projects in a fast-paced environment while maintaining high levels of team orientation and interpersonal communication.
• Empathy and sensitivity to client needs, with a passion for supporting team members and clients.
• A proactive approach to designing efficient systems and seeking productivity improvements.

Benefits

• Professional development opportunities
• Interesting work and supportive leaders
• Vibrant and inclusive culture
• Range of career opportunities
• Health and welfare benefits
• Tuition assistance
• 401K savings and other retirement programs
• Employee assistance programs