Mercer Advisors

Senior M&A Compliance Analyst

Mercer Advisors

full-time

Posted on:

Location Type: Remote

Location: United States

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Job Level

Senior

About the role

  • 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.

Requirements

  • 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.
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
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
compliance experienceregulatory filingsdue diligencepolicy developmentproblem analysisproject managementinvestment and finance analysiscompliance program analysisroot cause identificationaction plan development
Soft Skills
critical thinkingcommunication skillspresentation skillslistening skillsanalytical skillstime managementorganizational skillsprofessional integritysincerityindependent problem solving
Certifications
Bachelor’s DegreeMaster’s DegreeIACCPCSCP