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Compliance Operations Analyst
Location
United States
Posted
48 days ago
Salary
$72.3K - $85K / year
Seniority
Junior
Job Description
Compliance Operations Analyst
Mercer Advisors
• Serve as a first‑line resource for employee compliance inquiries, providing guidance on policies, procedures, and regulatory requirements or escalating matters as appropriate. • Manage and monitor incoming requests through the firm’s compliance ticketing system, ensuring timely intake, tracking, resolution, and documentation. • Route inquiries to appropriate compliance team members and follow up to ensure completion and proper recordkeeping. • Develop competency and expertise in compliance software and systems used to support the compliance operations function. • Maintain logs and metrics related to compliance inquiries and issue resolution. • Support the onboarding, offboarding, and ongoing maintenance of employee registrations, including preparation and processing of Form U4, U5, and amendments, as applicable. • Coordinate with Human Resources, Legal, and external partners to ensure timely and accurate registration filings. • Track employee licensing, registrations, continuing education requirements, and related attestations. • Assist with firm-level registrations and notice filings across all 50 states, as applicable. • Assist with the preparation, maintenance, and submission of regulatory filings, including Form ADV (Parts 1, 2A, and 2B) and other periodic or event-driven filings. • Maintain supporting documentation for regulatory filings and compliance activities in accordance with record retention requirements. • Monitor regulatory calendars to ensure required filings and updates are completed accurately and on time. • Assist with responses to routine regulatory inquiries and information requests. • Assist with administration of the firm’s compliance program, including policies and procedures, training tracking, and compliance documentation, and code of ethics administration. • Support preparation for SEC examinations and state regulatory reviews, including document collection and tracking of examiner requests. • Stay current on regulatory developments affecting investment advisers and escalate relevant changes to senior compliance staff. • Perform additional compliance‑related duties and special projects as assigned.
Job Requirements
- Bachelor’s degree required.
- 1–3 years of experience in a compliance, regulatory, or operations role within an investment adviser, broker-dealer, or financial services firm.
- Working knowledge of SEC investment adviser regulations and state registration requirements.
- Preferred, but not required, to have experience with FINRA Gateway system as it is utilized for investment adviser registration activities.
- Strong organizational skills and ability to manage multiple priorities in a deadline-driven environment.
- High attention to detail with strong documentation and follow-through skills.
- Professional and responsive communication style when interacting with employees and stakeholders.
- Ability to exercise sound judgment and escalate issues appropriately.
- Proficiency in Microsoft Excel, Word, Outlook, and PowerPoint; experience with compliance tracking or ticketing systems a plus.
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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