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  • Dallas, TX

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Compliance Officer


Posted 24 days ago

Job Snapshot

Other Great Industries
Professional Services


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Job Description

Position Summary:

The Compliance Officer’s (CO) primarily responsibilities will be to identify and assess risk and compliance issues within the Marsh & McLennan Agency (MMA) businesses. The CO will then assist in the design of programs to mitigate undue risk, while assisting the business in the prevention of illegal, unethical, or improper conduct. The CO manages the day-to-day operation of certain compliance goals, either across the enterprise, or for an office or a division.

The CO has or will develop subject matter expertise in the Employee Health & Benefit (EH&B) areas or has a strong compliance background. The CO collaborates with other departments (for example Legal, Operations, Internal Audit, Human Resources) to direct compliance issues to appropriate existing channels for investigation and resolution.

The CO is a trusted advisor to business leaders in MMA and to colleagues in and outside of the Risk & Compliance Department. He or she must demonstrate sound judgment while making consistent, difficult, and sometimes unpopular decisions. He or she must have excellent written and verbal communication skills in order to articulate the basis for their judgments, and the purposes underlying the legal, regulatory and compliance framework being advanced. The CO is dedicated to protecting the Company's reputation and supporting its business success by:

  • Advancing a culture of integrity and excellence
  • Maintaining effective compliance and risk management programs
  • Promoting high standards


  • Primarily responsible for compliance and transparency training, implementation, enforcement and achievement of Risk & Compliance Department goals
  • Responsible for knowing how regulatory matters apply to MMA’s business
  • Identify risk in MMA’s employee health and benefits businesses and work with the business to manage those risks intelligently, including the creation and implementation of Best Practices. ­
    • Designs a monitoring program around those Best Practices and a plan to remediate action items.
  • Actively participates on appropriate leadership, and/or operating committees, so as to ensure the Risk & Compliance function is integrated with business operations, while providing advice and support to senior operational leadership on the status of compliance, transparency, and overall professional liability performance of colleagues in MMA’s employee health and benefits business.
  • Develops procedures and training to support the compliance function in the employee health and benefits business, in conjunction with all applicable internal and external standards and regulations. ­
    • Conducts training and education to colleagues that promotes a) use of the Ethics & Compliance Line, b) heightened awareness of The Greater Good, and c) understanding of new and existing compliance issues and related policies and procedures. ­
    • Works with others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees in the health and benefits businesses, as well as ongoing compliance and professional standards training for these colleagues
  • Authorized to investigate and enforce compliance issues at the direction of MMA’s Chief Risk and Compliance Officer (CRCO)
  • Responsibility for ­
    • MMA’s Use of Commissions policy and protocols ­
    • MMA’s Third Party Provider protocols ­
    • Other policies
  • Participates in other projects as assigned by MMA’s CRCO


  • Has a bachelor’s degree or a legal degree, MBA or other applicable post-graduate degree and 3 years of insurance industry experience


  • 8+ years of insurance industry experience; employee health & benefits experience highly desired
  • Operational insurance brokerage experience
  • Excellent writing, communication and presentation skills
  • Is a self-starter, who can work independently, while also knowing when to work in collaboration with colleagues, managers and the business
  • A demonstrable ability to manage projects to completion
  • Aptitude and attitude for Compliance, ethical behavior and avoiding conflicts of interest demonstrated by personal integrity and accountability

Other requirements (licenses, certifications, specialized training):

  • Hold or need to obtain insurance license in health and benefits.

Marsh is a global leader in insurance broking and risk management. In more than 130 countries, our experts in every facet of risk and across industries help clients to anticipate, quantify, and more fully understand the range of risks they face. We work with clients of all sizes to define, design, and deliver innovative solutions to better quantify and manage risk. We offer risk management, risk consulting, insurance broking, alternative risk financing, and insurance program management services to businesses, government entities, organizations, and individuals around the world. To every client interaction we bring an unmatched combination of deep intellectual capital, industry-specific expertise, global experience, and collaboration. Since 1871, clients have relied on Marsh for trusted advice, to represent their interests in the marketplace, make sense of an increasingly complex world, and help turn risks into new opportunities for growth. Our more than 30,000 colleagues work on behalf of our clients, who are enterprises of all sizes in every industry, and include individuals, multinational organizations, and government entities worldwide. We embrace a culture that celebrates and promotes the many backgrounds, heritages and perspectives of our colleagues and clients. Visit for more information and follow us on LinkedIn and Twitter @MarshGlobal

Marsh and its separately incorporated operating entities around the world are part of Marsh & McLennan Companies, a publicly held company (ticker symbol: MMC).

Marsh & McLennan Companies offers competitive salaries and comprehensive benefits and programs including: health and welfare, tuition assistance, 401K, employee assistance program, domestic partnership benefits, career mobility, employee network groups, volunteer opportunities, and other programs. For more information about our company, please visit us at: 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:

Marsh & McLennan Companies and its Affiliates are EOE Minority/Female/Disability/Vet/Sexual Orientation/Gender Identity employers.

Job ID: DAL001TN
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