Partner Integration Compliance Manager - Marketing Review

Mercer Advisors is a leading independent fiduciary firm dedicated to enhancing the financial lives of families across the U.S. The Partner Integration Compliance Manager will support compliance activities by reviewing marketing materials and ensuring adherence to regulatory standards, while also assisting with internal compliance processes and audits.

Responsibilities:

• 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

Requirements:

• 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