Partner Integration Compliance Manager - Marketing Review

Job Summary:

The Partner Integration Compliance Manager will work in a team-centered environment under the direct supervision of the Compliance Marketing and Operations Director to support the firm’s compliance activities.

Essential Job Functions for the Partner Integration Compliance Manager will include:

• Handling regulatory and compliance issues in conformity with Mercer Advisors’ practices and requirements and with precision, expertise, integrity, and professional insight.
• Conduct the daily review of marketing materials of recently acquired businesses for compliance with SEC 206(4)-1, 206(4)-3 and other applicable laws, rules, and regulations.
• Regular review of M&A advertising, stationery, websites, social media posts, presentations, podcasts, webinars, and newsletters.
• Proactively work with the business to ensure acquired businesses are integrated successfully to Mercer Advisors.
• Perform periodic review of and manage updates of internal Legal and Compliance website.
• Assist with review and update of ADV (Parts 1, 2A and 2B) Filings for M&A firms.
• Assist with development of policies and procedures that reflect changes in business, regulation, and developing views on issues.
• Assist with review of compliance programs as needed.
• Assist CCO with preparation for and response to inquiries and audits from the SEC and other regulatory authorities.
• 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.
• Other compliance functions as assigned by the Compliance Marketing and Operations Director, Deputy CCO, or CCO.
• Perform other duties as assigned.

Required Knowledge, Skills, and Abilities:

• Bachelor’s degree
• Minimum 3+ years of compliance experience with investment advisor or broker dealer marketing rules
• Excellent communication, presentation, listening and analytical skills
• Proven time management and organizational skills in high-volume, high-energy environments
• Strong knowledge of and the ability to analyze investment and finance concepts
• 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 but not required.
• FINRA registrations (e.g., Series 7, 24, or 66) are a plus but not required.

Work Schedule: Monday through Friday, 8:00AM – 5:00PM

Working Conditions: Professional office environment, daytime hours, working inside, standing, and sitting, will be assigned to a workstation, no heavy lifting over 10 lbs.