Senior Compliance Analyst Partner Integration, Monitoring & Testing

Mercer Advisors

7d • $85,000 - $100,000 • Remote

About The Position

Mercer Advisors has been helping families amplify and simplify their financial lives for over 40 years by integrating financial planning, investment management, business management, tax, estate, insurance, and more, all managed by a single team. We deliver comprehensive care to clients. Currently, we serve over 31,300 families across 90+ cities in the U.S. Mercer Advisors is an independent fiduciary, legally bound to act in our clients’ best interests. We offer a workplace that stands apart in the financial industry, with over half of our employees and client-facing professionals being women. With a flexible, national footprint, we build our teams around exceptional talent wherever they are located. Join us and help families amplify and simplify their financial lives with confidence. Mercer Advisors was ranked #1 for RIA firms with up to $70 billion in assets by Barron’s. The Barron’s top RIA ranking is based on a combination of metrics including size, growth, service quality, technology, and succession planning. 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.

Requirements

• Minimum 3+ years of compliance experience with an investment advisor.
• Strong written and verbal communication skills with a demonstrated ability to make complex ideas accessible and persuasive to different audiences.
• Ability to think critically and identify and analyze problems independently.
• Detailed orientated to create accurate and high-quality documentation.
• Ability to organize and prioritize work in a fast-paced environment with multiple deadlines.
• Strong knowledge of and the Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA, ERISA, and DOL rules.
• 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, not required.

Responsibilities

• Collaborate on the annual risk assessment and development of internal surveillance systems and processes.
• Conduct regular audits to assess the adequacy of controls, processes, and procedures in accordance with applicable policies and securities laws.
• Identify patterns and trends in analyzed data.
• Ensure proper documentation and record retention for review workpapers.
• Seek improvements and provide guidance regarding compliance issue identification, root cause analysis and action plan remediation.
• Track action plans and prepare reporting for the Compliance Monitoring and Testing Manager on a regular basis.
• Assist with development of policies and procedures to address deficiencies uncovered during testing.
• Prepare and conduct virtual and physical branch office exams.
• Keep current on recent compliance and regulatory issues, trends, and developments.
• Other compliance functions as assigned by the Chief Compliance Officer or the Compliance Monitoring and Testing Manager.

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
• Personalized financial planning and guidance from Mercer Advisors professionals, offered at preferred employee pricing

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed