Senior Compliance Analyst Partner Integration, Monitoring & Testing
Remote, USA
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 for the M&A Senior Compliance Analyst will be dedicated to the acquired firms from the time of close through the integration process and include:
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 proficiency in MS Excel, Word, Outlook and PowerPoint. Professional demeanor that communicates integrity and sincerity.
Certificates, Licenses, Registrations:
Series 65 License preferred, not required.
Work Schedule: Monday through Friday, 8:00AM – 5:00PM
Working Conditions: Professional office environment, daytime hours, working inside, standing, and sitting, 100% remote, no heavy lifting over 10 lbs. Some travel required (approximately 15%).
Application Deadline: The initial deadline for applications is 5/7/2026. Applications submitted after this date may still be considered on a rolling basis until the position/program is filled. We encourage all interested candidates to apply as early as possible. If a final decision has not been made by the initial deadline, subsequent applications will be reviewed as they are received.
Actual base pay within this range will be based on a variety of factors, including but not limited to the applicant's geographic location, relevant experience, education, skills and licenses/certifications. This position is also eligible to earn incentive compensation through one of Mercer Advisors' incentive compensation programs.
Base Pay Range
$85,000 - $100,000 USD
Benefits: Mercer Advisors offers a competitive and robust benefit package to our employees. Our benefit programs are focused on meeting all of our employees and their eligible dependents health and welfare needs. We offer the following:
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