Why Work at Mercer Advisors?
For 40 years, Mercer Advisors has worked with families to help them amplify and simplify their financial lives. How? By integrating financial planning, investment management, tax, estate, insurance, and more, all managed by a single team. Today we proudly serve over 31,300 families in more than 90 cities across the U.S. Ranked the #1 RIA Firm in the nation by Barron’s, we are an independent, national fiduciary legally obligated to always act in the best interest of our clients.*
Mercer Advisors offers a distinct work environment that stands out in the financial industry. Our overall employee base and client-facing team are composed of 50% women, reflecting our commitment to diversity. We attract top talent from across the country, with no formal headquarters and flexible working arrangements, allowing us to assemble the best team possible.
Join us and be a part of a team dedicated to making a meaningful impact on the financial lives of families across the country.
* Mercer Advisors was ranked #1 for RIA firms with up to $70 billion in assets. The Barron’s top RIA ranking is based on a combination of metrics – including size, growth, service quality, technology, succession planning and others. No fee was paid for participation in the ranking, however, Mercer Advisors has paid a fee to Barron’s to use the ranking in marketing. Please see important information about the ranking criteria methodology here.
Job Summary:
The Senior M&A Compliance Analyst will work in a team-centered environment under the direct supervision of the M&A Compliance Director to support the firm’s compliance activities.
Essential Job Functions for the Compliance Analyst will include:
- Handling regulatory and compliance issues in conformity with Mercer’s practices and requirements and with precision, expertise, integrity, and professional insight.
- Assist with the due diligence, on-boarding, and integration of newly acquired firms.
- Manage registrations and filings for newly onboarded entities including U-4, ADV Part 1, ADV Part 2A and ADV Part 2B.
- Own the process of preparing a detailed analysis of the compliance program of the acquired firms as compared to Mercer Advisors to determine differences and develop action plans to ensure identified issues are resolved.
- Work with the M&A team on completing required integration tasks.
- Proactively work with the business to ensure acquired businesses are integrated successfully to Mercer Advisors.
- Assist with identifying, analyzing and developing action plans and tracking for acquired firm current compliance procedures and applicable regulatory changes.
- Ability to identify issues, determine root cause and recommend remedial actions
- Assist with development of policies and procedures to address gaps from acquisitions operating off-platform due to integration process.
- Work with acquired firms to monitor and test key areas of compliance until full integration is achieved.
- Keep current on recent compliance and regulatory issues, trends and upcoming developments.
- Assist with making regulatory filings with the SEC, FINRA and other regulatory authorities for acquired firms.
- Other compliance functions as assigned by the M&A Compliance Director or CCO.
Required Knowledge, Skills and Abilities:
- Bachelor’s or Master’s Degree
- Minimum 4+ years of compliance experience with investment advisor compliance
- Strong understanding of compliance processes
- Ability to think critically, and identify and analyze problems independently
- IACCP, CSCP or equivalent preferred, not required
- Excellent communication, presentation, listening and analytical skills
- Proven time management and organizational skills in high-volume, high-energy environments
- Strong knowledge of and the ability to analyze investment and finance concepts
- Strong knowledge of the Investment Advisers Act of 1940
- Strong project management skills
- Strong computer aptitude with proficiency in MS Excel, Word, Outlook and PowerPoint
- Professional demeanor that communicates integrity and sincerity
Certificates, Licenses, Registrations: No requirements.
Work Schedule: Monday through Friday, 8:00AM – 5:00PM
Working Conditions: Professional office environment, daytime hours, working inside, standing, and sitting, will be assigned to a work station.
Benefits:
Mercer Advisors offers a competitive and robust benefit package to our employees. Our benefit programs are focused on meeting all of our employees and their eligible dependents health and welfare needs. We offer the following:
- Company Paid Basic Life & AD&D Insurance
- Company Paid Short-Term and Long-Term Disability Insurance
- Supplemental Life & AD&D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance
- Three Cigna medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan.
- Kaiser Medical plans available in California
- Health Savings Account (HSA) with company contributions if enrolled in either HDHP medical plan.
- Two comprehensive Dental Plans
- Vision Insurance Plan
- Dependent Care Savings Account for child and dependent care.
- 14 Company Paid Holidays including a full week off at Thanksgiving.
- Generous paid time off program for vacation and sick days
- Employee Assistance Plan
- Family Medical Leave
- Paid Parental Leave (8 weeks)
- Maternity benefits utilizing company paid STD, any supplemental STD, plus Parental Leave (8 weeks) to provide time for recovery, baby bonding, and enjoying your family time.
- Adoption Assistance Reimbursement Program
- Company Paid Concierge Services for you and your loved ones for the spectrum of caring needs for your aging parents, young children, life’s challenges and more.
- 401(k) Retirement Plan with both Traditional and Roth plans with per pay period match as well as an after-tax option
- Pet Insurance
We are not accepting unsolicited resumes from agencies and/or search firms for this job posting.
Mercer Advisors is an equal opportunity employer and does not discriminate on the basis of any characteristic protected by applicable federal, state, or local law. Mercer Advisors participates in E-Verify and complies with federal employment eligibility verification requirements.
If you need an accommodation during the application or hiring process, please email [email protected]. This inbox is for accommodation requests only.
For information about applicant rights, required employment notices, E-Verify participation, and state specific disclosures, please review our Applicant Notices and Employment Rights.
If you are a resident of California, learn more about Mercer's California Consumer Privacy Policy here.
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