Senior Compliance Analyst Partner Integration, Monitoring & Testing

About this role

Why Work at Mercer Advisors?

For more than 40 years, Mercer Advisors has been helping families amplify and simplify their financial lives by integrating financial planning, investment management, business management, tax, estate, insurance, and more, all managed by a single team. We deliver the kind of comprehensive care once reserved for only the wealthiest households.

Today, we serve over 42,800+ families across 110+ cities across the U.S. Ranked the #1 RIA Firm in the nation by Barron’s for two consecutive years, Mercer Advisors is an independent fiduciary legally bound to act in our clients’ best interests — always.*

Mercer Advisors offers a workplace that stands apart in the financial industry. More than half of our employees and client-facing professionals are women, reflecting the clients we serve. With a flexible, national footprint, we build our teams around exceptional talent — wherever they are.

Join us and help families amplify and simplify their financial lives with confidence.

* Mercer Advisors was ranked #1 for RIA firms with up to $70 billion in assets. The Barron’s top RIA ranking is based on a combination of metrics – including size, growth, service quality, technology, succession planning and others. No fee was paid for participation in the ranking, however, Mercer Advisors has paid a fee to Barron’s to use the ranking in marketing. Please see important information about the ranking criteria methodology here.

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 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.
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