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Senior M&A Compliance Analyst

1 hour, 7 minutes ago
United States
Full-time
Senior
Compliance Manager
Finance and Accounting
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 30

Description

  • Support the firm’s compliance activities under the supervision of the M&A Compliance Director.
  • Assist with due diligence, onboarding, 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.
  • Prepare detailed analyses comparing acquired firms’ compliance programs to Mercer Advisors’ standards and develop action plans to close gaps.
  • Work with the M&A team to complete required integration tasks.
  • Partner with the business to help ensure acquired firms are integrated successfully into Mercer Advisors.
  • Identify, analyze, and track compliance procedures and regulatory changes affecting acquired firms.
  • Develop policies and procedures to address gaps from acquisitions operating off-platform during integration.
  • Monitor and test key compliance areas with acquired firms until full integration is achieved.
  • Assist with SEC, FINRA, and other regulatory filings for acquired firms.

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, but not required.
  • Excellent communication, presentation, listening, and analytical skills.
  • Proven time management and organizational skills in high-volume, high-energy environments.
  • Strong knowledge of 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 and AD&D insurance.
  • Company-paid Short-Term and Long-Term Disability insurance.
  • Medical coverage options including Cigna plans and Kaiser medical plans in California.
  • Health Savings Account with company contributions for employees enrolled in an HDHP.
  • Two dental plans and a vision insurance plan.
  • 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 support through company-paid STD and supplemental STD.
  • 401(k) retirement plan with Traditional and Roth options, employer match, and an after-tax option.
  • Adoption assistance reimbursement program.
  • Employee assistance plan and company-paid concierge services.
  • Pet insurance and personalized financial planning at preferred employee pricing.

Interested in this position?

Apply directly on the company website

Apply Now

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