M&A Compliance Analyst

Mercer Global Advisors

Location: Nationwide

The M&A Compliance Analyst will work in a team-centered environment under the direct supervision of the M&A Compliance Director to support the firm’s compliance activities.

Essential Job Functions for the Compliance Analyst will include:

Handling regulatory and compliance issues in conformity with Mercer’s practices and requirements and with precision, expertise, integrity, and professional insight.

Assist with the due diligence, on-boarding, and integration of newly acquired firms.

Complete registrations and filings for newly onboarded entities including U-4, ADV Part 1, ADV Part 2A and ADV Part 2B.

Prepare a detailed analysis of the compliance program of the acquired firms as compared to Mercer Advisors to determine differences and develop action plans to ensure identified issues are resolved.

Work with the M&A team on completing required integration tasks.

Proactively work with the business to ensure acquired businesses are integrated successfully to Mercer Advisors.

Assist with identifying, analyzing and developing action plans and tracking for acquired firm current compliance procedures and applicable regulatory changes.

Worth with acquired firms to monitor and test key areas of compliance until full integration is achieved.

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 for acquired firms.

Other compliance functions as assigned by the M&A Compliance Director or CCO.

To apply, please visit the careers section of our website www.merceradvisors.com.