Sr. M&A Compliance Analyst

Mercer Advisors is a different kind of wealth management firm. We exist so that our clients don’t have to worry about money.

Our firm was founded in 1985, on the belief that families at all wealth levels would benefit from a fully unified approach to managing their money A family office for your family.

We connect the dots of our clients’ financial lives by unifying planning, investing, taxes, estate, insurance, trust, and more.

Today, we proudly serve over 25,000 families, across over 90 cities, with over $45 Billion in in assets entrusted to our care.

And we do this as an independent, national fiduciary which means we are committed to always working in the clients’ best interest.

When you join our team, you will find that it is different from what you typically see in our industry. Our client-facing professionals of in-house experts are 50% women, as is our overall employee base.

We bring together the best talent wherever they live with no formal headquarters, and many flexible working arrangements so we can assemble the best team.

Job Summary :

The M&A Senior 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.

Essential Job Functions for the Compliance Analyst will include :

• 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.

Required Knowledge, Skills and Abilities :

• 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
• IACCP, CSCP or equivalent preferred, not required
• 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

Certificates, Licenses, Registrations :

No requirements.

Work Schedule :

Monday through Friday, 8 : 00AM 5 : 00PM

Working Conditions :

Professional office environment, daytime hours, working inside, standing, and sitting, will be assigned to a work station.

Benefits :

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 medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan
• Health Savings Account (HSA) with company contributions on a per pay period basis 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 with 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 (6 weeks)
• Maternity benefits utilizing company paid STD, any supplemental STD, plus Parental Leave (6 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
• Pet Insurance
30+ days ago