Senior Compliance Manager – Enhanced Monitoring & Supervision

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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

• Implement and maintain High Risk Client Framework • Design and implement high risk client identification and evaluation framework • Develop risk scoring methodology and high-risk criteria based on client risk indicators, regulatory obligations and firm risk thresholds • Oversee enhanced due diligence-style reviews • Monitor internal employee and advisor activities for elevated compliance risk • Assess outside business activities and conflicts of interest • Identify patterns and behaviors indicating increased risk • Design and manage heightened supervision plans • Track adherence and escalating issues • Ensure remediation and documentation • Monitor high risk business practices including onboarding, fees, and vendor relationships for conflicts of interest and inconsistent or suspicious activities • Identify deviations from policy and emerging risk areas • Participate in internal reviews based on customer feedback or internal escalations • Conduct risk assessments for clients, employees, and business practices • Develop dashboards and reporting for senior management • Support regulatory readiness and audit documentation

🎯 Requirements

• Bachelor’s degree required • 5+ years of experience in compliance or risk management • Strong knowledge of investment adviser regulations, AML and enhanced due diligence requirements. • Strong analytical, investigative, and documentation skills. • Ability to exercise sound judgment and maintain confidentiality in sensitive matters. • Strong written and verbal communication skills, including interaction with regulators. • Proficiency in Microsoft Office applications (Excel, Word, Outlook, PowerPoint). • CAMS or equivalent AML certification preferred

🏖️ 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