Senior Compliance Analyst Partner Integration, Monitoring & Testing

Job Summary

The M&A Senior Compliance Analyst will work in a team-centered environment under the direct supervision of the Compliance Monitoring and Testing Manager to support the firm’s compliance activities related to the monitoring, testing, branch audit and compliance supervision of the firms that are acquired by Mercer Advisors.

Essential Job Functions

• Collaborate on the annual risk assessment and development of internal surveillance systems and processes.
• Conduct regular audits to assess the adequacy of controls, processes, and procedures in accordance with applicable policies and securities laws.
• Identify patterns and trends in analyzed data.
• Ensure proper documentation and record retention for review workpapers.
• Seek improvements and provide guidance regarding compliance issue identification, root cause analysis and action plan remediation.
• Track action plans and prepare reporting for the Compliance Monitoring and Testing Manager on a regular basis.
• Assist with development of policies and procedures to address deficiencies uncovered during testing.
• Prepare and conduct virtual and physical branch office exams.
• Keep current on recent compliance and regulatory issues, trends, and developments.
• Other compliance functions as assigned by the Chief Compliance Officer or the Compliance Monitoring and Testing Manager.

Required Knowledge, Skills and Abilities

• Minimum 3+ years of compliance experience with an investment advisor.
• Strong written and verbal communication skills with a demonstrated ability to make complex ideas accessible and persuasive to different audiences.
• Ability to think critically and identify and analyze problems independently.
• Detailed orientated to create accurate and high-quality documentation.
• Ability to organize and prioritize work in a fast-paced environment with multiple deadlines.
• Strong knowledge of and the Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA, ERISA, and DOL rules.
• Strong computer aptitude with