Mercer Advisors logo
Mercer Advisors

A family office for your family.

Senior Compliance Manager – Enhanced Monitoring & Supervision

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

Location

United States

Posted

4 days ago

Salary

$127.5K - $150K / year

Seniority

Senior

Bachelor Degree5 yrs expEnglish

Job Description

Senior Compliance Manager – Enhanced Monitoring & Supervision

Mercer Advisors

• 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

Job Requirements

  • Bachelor’s degree required
  • 5+ years of experience in compliance or risk management
  • Strong knowledge of investment adviser regulations, AML and enhanced due diligence requirements.
  • Strong analytical, investigative, and documentation skills.
  • Ability to exercise sound judgment and maintain confidentiality in sensitive matters.
  • Strong written and verbal communication skills, including interaction with regulators.
  • Proficiency in Microsoft Office applications (Excel, Word, Outlook, PowerPoint).
  • CAMS or equivalent AML certification preferred

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

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