Senior Compliance Analyst, Partner Integration, Monitoring & Testing

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Mercer Advisors

WebsiteLinkedInAll Job Openings

501 - 1000 employees

Founded 1985

💳 Fintech

💸 Finance

👥 B2C

Fintech • Finance • B2C

Mercer Advisors is a comprehensive financial advisory firm that focuses on simplifying and amplifying clients' financial lives. They offer a family office-style service, providing a unified team of financial planners, investors, accountants, and estate specialists who tailor financial plans to individual needs. With over 40 years of experience, the firm emphasizes personalized, fiduciary-focused service without compromising on institutional-grade portfolio management, making it accessible for families and individuals seeking to enhance their financial future.

📋 Description

• 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.

🎯 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. • Series 65 License preferred, not required.

🏖️ 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