Mercer Advisors
Senior Compliance Analyst Partner Integration, Monitoring & Testing
Remote, USA · Senior
Sponsorship not specified$85k-$100kDetected 16 days ago
ComplianceExcelM&ACommunicationMicrosoft Office
About the role
- Essential Job Functions for the M&A Senior Compliance Analyst will be dedicated to the acquired firms from the time of close through the integration process and include:
- 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.
Requirements
- Some travel required (approximately 15%).
- Required Knowledge, Skills and Abilities:
- Strong written and verbal communication skills with a demonstrated ability to make complex ideas accessible and persuasive to different audiences.
- For information about applicant rights, required employment notices, E-Verify participation, and state specific disclosures, please review our Applicant Notices and Employment Rights.
Nice to have
- Series 65 License preferred, not required.
Skills
- Minimum 3+ years of compliance experience with an investment advisor.
- 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.
Compensation
- $85,000 - $100,000 USD
- Actual base pay within this range will be based on a variety of factors, including but not limited to the applicant's geographic location, relevant experience, education, skills and licenses/certifications.
- This position is also eligible to earn incentive compensation through one of Mercer Advisors' incentive compensation programs.
- Base Pay Range
- Collaborate on the annual risk assessment and development of internal surveillance systems and processes.
Benefits
- 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
- Generous paid time off program for vacation and sick days
- Family Medical Leave
- Paid Parental Leave (8 weeks)
- 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.
Company info
- We offer the following:
- We are not accepting unsolicited resumes from agencies and/or search firms for this job posting.
Equal opportunity
- equal opportunity employer and does not discriminate on the basis of any characteristic protected by applicable federal, state, or local law.
- If you need an accommodation during the application or hiring process, please email PeopleTeam@merceradvisors.com.
- This inbox is for accommodation requests only.
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This listing is sourced directly from Mercer Advisors's careers page and normalized into a canonical job model.