Senior M&A Compliance Analyst

Role Overview

• 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.

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