Compliance Officer role at Marsh McLennan, managing regulatory compliance and serving as subject matter expert. Collaborating with teams on compliance enhancements and regulatory filings.
Responsibilities
Provide advisory compliance guidance
Manage the firms regulatory filings across multiple regulatory bodies
Conduct testing and collaborate to implement enhancements and solutions across the compliance program
Serve as subject matter expert on a variety of compliance areas
Requirements
BA/BS degree
A minimum of 5 years of experience in relevant compliance or operations experience at an SEC registered investment adviser or service provider 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 and FINRA and ERISA regulation.
Regulatory Affairs Specialist ensuring compliance with food regulations. Collaborating on projects to manage product formulations and labeling across Latin America while complying with local laws.
Senior Regulatory Professional developing regulatory strategies and leading execution via cross - functional teams for Novo Nordisk, focusing on Obesity and Diabetes portfolio.
Regulatory Affairs Specialist responsible for leading regulatory strategies for Novo Nordisk’s Obesity and Diabetes portfolio. Collaborate with cross - functional teams and health authorities for submissions and documentation.
Compliance Advisor providing advisory and assessment services for Alberta's policing standards and oversight programs. Collaborating with law enforcement and community partners on compliance and accountability standards.
ACA Foreside Supervision Analyst responsible for compliance with regulations and policies. Reviewing communications and ensuring adherence to regulatory standards during inspections and audits.
Werkstudent supporting compliance project management at FUCHS with responsibilities in software implementation and documentation. Engaging in system tests and collaborating with internal teams.
Compliance Exam, Audit and Issue Manager overseeing risk management framework at U.S. Bank. Leading compliance projects and managing regulatory engagements to ensure adherence to laws and regulations.
Manage Regulatory Planning and Evaluation in energy efficiency at Eversource. Lead multi - year planning, reporting, and stakeholder collaboration efforts while achieving savings goals.
Vendor Compliance Coordinator managing compliance programs with vendors at Belk. Collaborating with supply chain and merchandising teams to meet operational and quality expectations.
IT Compliance Analyst coordinating documentation and managing control tasks at Stantec. Ensuring systems are audit - ready and supporting compliance professionals in a collaborative environment.