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Mercer Advisors logo
Mercer Advisors

A family office for your family.

Senior M&A Compliance Analyst

ComplianceComplianceFull TimeRemoteSeniorTeam 501-1,000Since 1985H1B No SponsorCompany SiteLinkedIn

Location

United States

Posted

107 days ago

Salary

0

Seniority

Senior

Bachelor Degree4 yrs expEnglish

Job Description

Senior M&A Compliance Analyst

Mercer Advisors

• 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.

Job 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

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dLocal logo

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