Senior Compliance Analyst Partner Integration, Monitoring & Testing
New
M
Mercer AdvisorsFinancial Services
Remote, USAFull-TimeSenior
Salary$85,000 — $100,000 USD
Apply NowOpens the employer's application page
Job Details
- Experience
- 3+ years
- Required Skills
- Microsoft Excel
Requirements
- Minimum 3+ years of compliance experience with an investment advisor.
- Strong knowledge of the Investment Advisers Act of 1940.
- Strong knowledge of the Securities Exchange Act of 1934.
- Strong knowledge of FINRA, ERISA, and DOL rules.
- Proficiency in MS Excel, Word, Outlook, and PowerPoint.
- Demonstrated ability to make complex ideas accessible and persuasive.
- Strong critical thinking skills to analyze problems independently.
- Excellent attention to detail for accurate documentation.
- Ability to prioritize work in a fast-paced environment with multiple deadlines.
- Professional demeanor and integrity.
- Series 65 License preferred.
Responsibilities
- Collaborate on annual risk assessments and the development of internal surveillance systems.
- Conduct regular audits to assess control, process, and procedure adequacy in line with securities laws.
- Identify and analyze patterns and trends in compliance data.
- Ensure accurate documentation and record retention for review workpapers.
- Provide guidance on compliance issue identification, root cause analysis, and remediation.
- Track action plans and report progress to the Compliance Monitoring and Testing Manager.
- Assist in developing policies and procedures to address testing deficiencies.
- Conduct virtual and physical branch office exams.
- Stay current on compliance and regulatory developments.
View Full Description & ApplyYou'll be redirected to the employer's site
