Note: The job is a remote job and is open to candidates in USA. Mercer Advisors is a leading independent fiduciary firm dedicated to enhancing the financial lives of families across the U.S. The Compliance Operations Analyst role is crucial for supporting the enterprise compliance program, handling employee inquiries, managing compliance requests, and overseeing regulatory filings to ensure adherence to SEC and state regulations.
Responsibilities
- Serve as a first‑line resource for employee compliance inquiries, providing guidance on policies, procedures, and regulatory requirements or escalating matters as appropriate
- Manage and monitor incoming requests through the firm’s compliance ticketing system, ensuring timely intake, tracking, resolution, and documentation
- Route inquiries to appropriate compliance team members and follow up to ensure completion and proper recordkeeping
- Develop competency and expertise in compliance software and systems used to support the compliance operations function
- Maintain logs and metrics related to compliance inquiries and issue resolution
- Support the onboarding, offboarding, and ongoing maintenance of employee registrations, including preparation and processing of Form U4, U5, and amendments, as applicable
- Coordinate with Human Resources, Legal, and external partners to ensure timely and accurate registration filings
- Track employee licensing, registrations, continuing education requirements, and related attestations
- Assist with firm‑level registrations and notice filings across all 50 states, as applicable
- Assist with the preparation, maintenance, and submission of regulatory filings, including Form ADV (Parts 1, 2A, and 2B) and other periodic or event‑driven filings
- Maintain supporting documentation for regulatory filings and compliance activities in accordance with record retention requirements
- Monitor regulatory calendars to ensure required filings and updates are completed accurately and on time
- Assist with responses to routine regulatory inquiries and information requests
- Assist with administration of the firm’s compliance program, including policies and procedures, training tracking, and compliance documentation, and code of ethics administration
- Support preparation for SEC examinations and state regulatory reviews, including document collection and tracking of examiner requests
- Stay current on regulatory developments affecting investment advisers and escalate relevant changes to senior compliance staff
- Perform additional compliance‑related duties and special projects as assigned
Skills
- Bachelor's degree required
- 1–3 years of experience in a compliance, regulatory, or operations role within an investment adviser, broker‑dealer, or financial services firm
- Working knowledge of SEC investment adviser regulations and state registration requirements
- Strong organizational skills and ability to manage multiple priorities in a deadline‑driven environment
- High attention to detail with strong documentation and follow‑through skills
- Professional and responsive communication style when interacting with employees and stakeholders
- Ability to exercise sound judgment and escalate issues appropriately
- Proficiency in Microsoft Excel, Word, Outlook, and PowerPoint; experience with compliance tracking or ticketing systems a plus
- Preferred, but not required, to have experience with FINRA Gateway system as it is utilized for investment adviser registration activities
- IACCP, CSCP or equivalent preferred, not required
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
Company Overview
Mercer Advisors is a full-service wealth management firm. It was founded in 1985, and is headquartered in Denver, Colorado, USA, with a workforce of 501-1000 employees. Its website is http://www.merceradvisors.com/.