Handling regulatory and compliance issues in conformity with Mercer Advisors’ practices and requirements and with precision, expertise, integrity, and professional insight.
Conduct the daily review of marketing materials of recently acquired businesses for compliance with SEC 206(4)-1, 206(4)-3 and other applicable laws, rules, and regulations.
Regular review of M&A advertising, stationery, websites, social media posts, presentations, podcasts, webinars, and newsletters.
Proactively work with the business to ensure acquired businesses are integrated successfully to Mercer Advisors.
Perform periodic review of and manage updates of internal Legal and Compliance website.
Assist with review and update of ADV (Parts 1, 2A and 2B) Filings for M&A firms.
Assist with development of policies and procedures that reflect changes in business, regulation, and developing views on issues.
Assist with review of compliance programs as needed.
Assist CCO with preparation for and response to inquiries and audits from the SEC and other regulatory authorities.
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.
Other compliance functions as assigned by the Compliance Marketing and Operations Director, Deputy CCO, or CCO.
Perform other duties as assigned.

Bachelor’s degree
Minimum 3+ years of compliance experience with investment advisor or broker dealer marketing rules
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 computer aptitude with proficiency in MS Excel, Word, Outlook and PowerPoint
Professional demeanor that communicates integrity and sincerity
Series 65 license preferred but not required.
FINRA registrations (e.g., Series 7, 24, or 66) are a plus but not required.

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

Partner Integration Compliance Manager – Marketing Review

Key skills