Mercer Advisors

• Own the Permissions & Privacy Framework – Serve as the single business owner of client data permissions and governance, defining role-based access principles and clear decision rights. Evolve the framework as appropriate • Operationalize Access & Policy Management – influence the design and manage workflows for access provisioning, deprovisioning, temporary access, advisor transitions, and confidential client handling • Govern Ongoing Permission Decisions – Act as the central project manager for complex access requests. Maintain clear policy guidance for recurring scenarios. • Build Audit, Monitoring & Risk Controls – Establish audit processes, reporting, and monitoring to ensure consistency and detect inappropriate access • Drive Cross-System Alignment – Partner with Product and Technology teams to standardize permissions across all platforms and products • Enable the Organization – Partner to create training, guidance, and FAQs to ensure employees understand access policies and processes.

• The Associate Advisor Guide will identify, qualify, and develop quality sales opportunities. • Handle lead generation programs, call campaigns and strategies to acquire new clients. • Engage clients through inbound calls and follow-up outbound calls, e mail and other approved media. • Exhibit a high degree of energy. • Engage prospective clients by building trusting relationships with a high degree of integrity and personal accountability. • Ensure exceptional service and satisfaction. • Participate in an open-communication environment within a busy team. • Other duties or tasks as assigned by management.

• Conduct legal research and draft legal documents • Participate in day-to-day operations of the estate planning team • Support administrative team with compilation of legal documents • Shadow client meetings and review documents • Other duties as needed

• Define and execute a comprehensive privacy strategy aligned with business goals, regulatory requirements, and industry best practices. • Responsible for compliance with global privacy laws (e.g., SEC Regulation S‑P, GLBA, CCPA/CPRA, GDPR, PIPEDA, state-level privacy laws), including AI tools, models, and workflows. Monitor regulatory changes and lead organizational readiness. • Create, maintain, and enforce privacy policies, standards, and data-handling procedures across the enterprise, and develop and report on compliance metrics. • Lead privacy risk assessments, DPIAs, vendor risk reviews, and audits. Identify gaps and drive remediation. • Develop and implement AI‑specific data‑handling policies and controls, including rules for input restrictions, redaction, anonymization, retention, and secure storage of AI‑generated or AI‑processed data, as well as controls for access management, monitoring, and employee training on safe and compliant AI usage. • Oversee processes for data subject rights, consent management, data retention and deletion, breach response, privacy-by-design, and use of data in AI. • Assist in managing response to privacy incidents, coordinating with security and communications teams. • Partner with Compliance, Technology, the People Team, and Marketing to embed privacy into systems, products, and workflows.

• Collaborate on the annual risk assessment and development of internal surveillance systems and processes. • 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. • Ensure proper documentation and record retention for review workpapers. • Seek improvements and provide guidance regarding compliance issue identification, root cause analysis and action plan remediation. • Track action plans and prepare reporting for the Compliance Monitoring and Testing Manager on a regular basis. • Assist with development of policies and procedures to address deficiencies uncovered during testing. • Prepare and conduct virtual and physical branch office exams. • Keep current on recent compliance and regulatory issues, trends, and developments. • Other compliance functions as assigned by the Chief Compliance Officer or the Compliance Monitoring and Testing Manager.

• Implement and maintain High Risk Client Framework • Design and implement high risk client identification and evaluation framework • Develop risk scoring methodology and high-risk criteria based on client risk indicators, regulatory obligations and firm risk thresholds • Oversee enhanced due diligence-style reviews • Monitor internal employee and advisor activities for elevated compliance risk • Assess outside business activities and conflicts of interest • Identify patterns and behaviors indicating increased risk • Design and manage heightened supervision plans • Track adherence and escalating issues • Ensure remediation and documentation • Monitor high risk business practices including onboarding, fees, and vendor relationships for conflicts of interest and inconsistent or suspicious activities • Identify deviations from policy and emerging risk areas • Participate in internal reviews based on customer feedback or internal escalations • Conduct risk assessments for clients, employees, and business practices • Develop dashboards and reporting for senior management • Support regulatory readiness and audit documentation

• Support the fast-growing, dynamic sales team • Own your sales pipeline from start to finish, converting and nurturing potential clients to create a best-in-class experience for every potential client • Assist in identifying and qualifying potential clients to ensure they are a good fit for Mercer Advisors • Engage with potential clients over Zoom, phone, and/or in person to understand their needs and share how Mercer can help • Actively participate in your own growth, soliciting and incorporating feedback into your conversations with potential clients and participating in team trainings or activities

• The Senior Wealth Enablement Manager drives frictionless service delivery across Wealth Management (WM) by partnering with advisors and client service staff to close skill gaps, champion process improvement, and lead adoption. • Design, build, and maintain a strategic learning curriculum for WM advisors and CS staff, including training materials, online resources, use-case playbooks, and AI prompt guides. • Translate complex platform enhancements, new products, and technology changes into clear, role-specific learning experiences that drive adoption. • Build and curate an AI content library covering generative AI tools, workflow automation, and practical advisor use cases (client communication, CRM summarization, meeting preparation). • Own all WM-facing training communications, MercerNet content, and webinar programs; track adoption and proficiency metrics and iterate curriculum based on outcomes data. • Design and deliver onboarding and ongoing learning for Advisor and CS new hires, acquisition employees, and employees new to firm, using multiple formats (live, virtual, self-paced modules) tailored to each audience. • Develop and deliver AI literacy and tool adoption training, including responsible use guidelines, compliance guardrails, and role-specific use-case frameworks. • Design checkpoints and success metrics to substantiate program effectiveness; report findings and recommendations to Enablement leadership and WM stakeholders. • Serve as subject matter expert and de facto "product owner" for assigned content areas, staying current and sharing knowledge proactively. • Serve as the voice of WM Teams identifying friction, gaps, and opportunities and bringing structured recommendations to leadership and cross-functional partners. • Partner with Technology, Product, and Compliance to evaluate, pilot, and govern technology solutions; ensure outputs are practical, compliant, and field ready before rollouts. • Lead business process improvement efforts, including identifying WM workflows suited for AI augmentation and partnering on scaled, phased deployment. • Champion AI thought leadership across Wealth Management, educating teams on new capabilities and surfacing practical opportunities to drive efficiency and elevate how the business operates. • Partner with M&A leadership to design and deliver training for acquired teams either remotely or in person ensuring alignment to Mercer Advisors’ platforms, standards, and culture. • Apply Mercer Advisors' AI capabilities to create a seamless integration journey for acquired firms, reducing friction and enabling teams to ramp quickly and contribute sooner. • Define and track training and adoption checkpoints across Mercer Advisors' systems and ecosystem, identify where additional support is needed, and drive continuous improvement throughout the integration.

• Perform monthly billing audits, including fee calculations, account troubleshooting, and adjustment processing • Review and maintain client accounts and household structures to ensure accurate fee schedule assignments • Partner with advisors and internal stakeholders to update and maintain billing instructions, ensuring alignment with client agreements • Reconcile direct debit results and ensure timely and accurate fee collection • Respond to billing-related inquiries from advisors and Client Service teams in a timely and professional manner • Partner with Trading and Client Service teams to ensure sufficient account liquidity for billing debits • Proactively track, manage, and follow up on outstanding, failed, or rejected fee transactions • Investigate root causes of failed collections and coordinate resolution • Partner with advisors, Client Service, and Trading teams to facilitate collections, including funding accounts, re-processing fees, or updating client billing setups • Maintain detailed records of collection efforts and outstanding balances; provide regular reporting on aged receivables and collection status • Identify trends in collection issues and recommend process improvements to reduce failed or delayed billing

Role Description The Estate Planning team is part of our Wealth Solutions group, which is a dynamic team environment consisting of professionals dedicated to providing and implementing planning strategies for our high net worth clients. - Independently meet with wealth advisors/financial planners/other wealth management and members of the Wealth Solutions group to review, fund, and maintain estate plans. - Independently reviewing and summarizing existing estate planning documents, including making appropriate recommendations regarding changes and additions based upon changes in law and family circumstances. - Answering general informational estate planning questions from clients and advisor teams. - Serving as an in-house resource in estate planning to wealth management teams nationwide. - Remaining current with related estate, trust, and tax legislation nationwide. - Eligible to support business development through leading presentations and thought leadership publications, as necessary. - Managing a service specialist, as assigned, as related to overseeing day-to-day tasks, training, calendars, time management, coaching, and mentoring. - Other duties as assigned. Qualifications - Juris Doctor (JD) - Licensed to practice law in at least one state - Ability to interpret and convey complex estate planning topics to Wealth Management teams and clients - 2-6 years legal experience in estate planning preferred - Ability to travel up to 25% Requirements This professional role requires availability during standard business hours of Monday through Friday from 8AM to 5PM. At times, the role may have early or late hours to meet business tasks and deadlines for external and internal client needs. - All roles classified as a non-exempt are required to record working time into the timekeeping system daily at the start and end of each workday plus a 30-minute unpaid lunch period. 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 - Personalized financial planning and guidance from Mercer Advisors professionals, offered at preferred employee pricing