Sr. M&A Compliance Analyst

Mercer Advisors

About The Position

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.

Requirements

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
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

Nice To Haves

IACCP, CSCP or equivalent preferred, not required

Responsibilities

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.

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