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Partner Integration Compliance Manager - Marketing Review

2 weeks, 4 days ago
United States
Full-time
Mid Level
Compliance Manager
Marketing and Growth
Apply Now
Mercer Advisors

Mercer Advisors

Mercer Advisors provides comprehensive wealth management services, including financial planning, investment management, and family office solutions, aimed at simplifying and enhancing the financial lives of its clients through a holistic and customized...

Capital Markets
251-1K
Founded 1985
View All Jobs 25

Description

  • Handle regulatory and compliance issues in line with Mercer Advisors’ practices and applicable laws and rules.
  • Review marketing materials from recently acquired businesses for compliance with SEC marketing rules and other regulations.
  • Review M&A advertising, stationery, websites, social media posts, presentations, podcasts, webinars, and newsletters.
  • Work with the business to help ensure acquired firms are successfully integrated into Mercer Advisors.
  • Manage periodic updates to the internal Legal and Compliance website.
  • Assist with reviewing and updating ADV Parts 1, 2A, and 2B filings for M&A firms.
  • Help develop policies and procedures that reflect changes in the business, regulations, and evolving guidance.
  • Assist with compliance program reviews as needed.
  • Support the CCO with SEC and other regulatory inquiries and audits.
  • Prepare and submit regulatory filings with the SEC, FINRA, and other authorities.

Requirements

  • Bachelor’s degree.
  • Minimum 3+ years of compliance experience with investment advisor or broker-dealer marketing rules.
  • Excellent communication, presentation, listening, and analytical skills.
  • Strong time management and organizational skills in high-volume, high-energy environments.
  • Strong knowledge of investment and finance concepts and the ability to analyze them.
  • Proficiency in MS Excel, Word, Outlook, and PowerPoint.
  • Professional demeanor that communicates integrity and sincerity.
  • Series 65 license preferred but not required.
  • FINRA registrations such as Series 7, 24, or 66 are a plus but not required.

Benefits

  • Base pay range of $102,000 to $120,000 USD.
  • Eligible for incentive compensation through Mercer Advisors’ incentive compensation programs.
  • Company-paid basic life and AD&D insurance.
  • Company-paid short-term and long-term disability insurance.
  • Medical, dental, and vision coverage, including Cigna and Kaiser plan options.
  • Health Savings Account with company contributions for eligible HDHP enrollees.
  • 14 company-paid holidays, including a full week off at Thanksgiving.
  • Generous paid time off for vacation and sick days.
  • Paid parental leave of 8 weeks, plus maternity benefits.
  • 401(k) retirement plan with Traditional and Roth options, company match, and after-tax option.

Interested in this position?

Apply directly on the company website

Apply Now

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