Base: $72,250—$85,000 usd; bonus/equity: not speci...
Remote
Employee compliance inquiries
Compliance ticketing system
Regulatory filings
The Compliance Analyst supports the firm’s enterprise compliance program by serving as a primary point of contact for employee compliance inquiries
Job Summary
The Compliance Analyst supports the firm’s enterprise compliance program by serving as a primary point of contact for employee compliance inquiries.
This role plays a critical operational function in maintaining compliance with SEC and state regulatory requirements applicable to a nationally operating registered investment adviser.
Mercer Advisors offers a competitive and robust benefit package to our employees, including health, disability, and paid time off.
Matching Summary
The Compliance Analyst supports the firm’s enterprise compliance program by serving as a primary point of contact for employee compliance inquiries.
Salary
Base: $72,250—$85,000 USD; Bonus/Equity: Not specified; Benefits: Competitive and robust benefit package
Skills & Requirements
Must-have
Employee compliance inquiries
Compliance ticketing system
Regulatory filings
SEC and state regulatory requirements
Form U4, U5, and amendments processing
Nice-to-have
FINRA Gateway system experience
Compliance software expertise
Professional and responsive communication
Key Requirements
Bachelor’s degree required
1-3 years of experience in compliance, regulatory, or operations
Working knowledge of SEC investment adviser regulations
Proficiency in Microsoft Excel, Word, Outlook, and PowerPoint