Senior Compliance Analyst Partner Integration, Monitoring & Testing

United StatesRemotesenior

Finance & AccountingCompliance Analyst

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Overview

Why Work at Mercer Advisors? For more than 40 years, Mercer Advisors has been helping families amplify and simplify their financial lives by integrating financial planning, investment management,

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Finance & AccountingCompliance Analyst

What We Offer

~3 min read

For more than 40 years, Mercer Advisors has been helping families amplify and simplify their financial lives by integrating financial planning, investment management, business management, tax, estate, insurance, and more, all managed by a single team. We deliver the kind of comprehensive care once reserved for only the wealthiest households.

Today, we serve over 31,300 families across 90+ cities across the U.S. Ranked the #1 RIA Firm in the nation by Barron’s for two consecutive years, Mercer Advisors is an independent fiduciary legally bound to act in our clients’ best interests — always.*

Mercer Advisors offers a workplace that stands apart in the financial industry. More than half of our employees and client-facing professionals are women, reflecting the clients we serve. With a flexible, national footprint, we build our teams around exceptional talent — wherever they are.

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. 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.

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

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

The M&A Senior Compliance Analyst will work in a team-centered environment under the direct supervision of the Compliance Monitoring and Testing Manager to support the firm’s compliance activities related to the monitoring, testing, branch audit and compliance supervision of the firms that are acquired by Mercer Advisors.

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.

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.

Series 65 License preferred, not required.

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 PeopleTeam@merceradvisors.com. 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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