Note: The job is a remote job and is open to candidates in USA. Mercer Advisors is a leading financial services firm that has been supporting families in managing their financial lives for over 40 years. The M&A Senior Compliance Analyst will be responsible for ensuring compliance activities related to the monitoring and testing of acquired firms, conducting audits, and developing policies to improve compliance processes.
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
Skills
- 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
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