Partner Integration Compliance Manager - Marketing Review

Mercer Advisors

1d•$102,000 - $120,000

About The Position

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. The Partner Integration Compliance Manager will work in a team-centered environment under the direct supervision of the Compliance Marketing and Operations Director to support the firm’s compliance activities.

Requirements

Bachelor’s degree
Minimum 3+ years of compliance experience with investment advisor or broker dealer marketing rules
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 computer aptitude with proficiency in MS Excel, Word, Outlook and PowerPoint
Professional demeanor that communicates integrity and sincerity

Nice To Haves

Series 65 license preferred but not required.
FINRA registrations (e.g., Series 7, 24, or 66) are a plus but not required.

Responsibilities

Handling regulatory and compliance issues in conformity with Mercer Advisors’ practices and requirements and with precision, expertise, integrity, and professional insight.
Conduct the daily review of marketing materials of recently acquired businesses for compliance with SEC 206(4)-1, 206(4)-3 and other applicable laws, rules, and regulations.
Regular review of M&A advertising, stationery, websites, social media posts, presentations, podcasts, webinars, and newsletters.
Proactively work with the business to ensure acquired businesses are integrated successfully to Mercer Advisors.
Perform periodic review of and manage updates of internal Legal and Compliance website.
Assist with review and update of ADV (Parts 1, 2A and 2B) Filings for M&A firms.
Assist with development of policies and procedures that reflect changes in business, regulation, and developing views on issues.
Assist with review of compliance programs as needed.
Assist CCO with preparation for and response to inquiries and audits from the SEC and other regulatory authorities.
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.
Other compliance functions as assigned by the Compliance Marketing and Operations Director, Deputy CCO, or CCO.
Perform other duties as assigned.

Benefits

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