Senior Compliance Analyst, Partner Integration, Monitoring & Testing

This is a fully remote position, open to applicants in United States.

📋 Description

• Collaborate in the yearly risk assessment and the creation of internal surveillance systems and processes.

• Perform regular audits to evaluate the effectiveness of controls, processes, and procedures in compliance with relevant policies and securities legislation.

• Detect patterns and trends in the data analyzed.

• Ensure adequate documentation and record retention for review workpapers.

• Pursue enhancements and offer guidance on identifying compliance issues, conducting root cause analysis, and devising action plan remediation.

• Monitor action plans and provide regular reports to the Compliance Monitoring and Testing Manager.

• Assist in formulating policies and procedures to rectify deficiencies identified during testing.

• Organize and execute virtual and physical branch office examinations.

• Stay informed about the latest compliance and regulatory issues, trends, and developments.

• Undertake additional compliance tasks as assigned by the Chief Compliance Officer or the Compliance Monitoring and Testing Manager.

⛳️ Requirements

• At least 3+ years of compliance experience within an investment advisor setting.

• Excellent written and verbal communication skills, with a proven ability to present complex concepts clearly and persuasively to various audiences.

• Capacity for critical thinking and the capability to independently identify and analyze problems.

• Detail-oriented approach to creating precise and high-quality documentation.

• Ability to manage and prioritize tasks in a dynamic environment with multiple deadlines.

• Strong understanding of the Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA, ERISA, and DOL regulations.

• Proficient in computer skills, particularly in MS Excel, Word, Outlook, and PowerPoint.

• A professional demeanor that conveys integrity and sincerity.

• Series 65 License is preferred but not mandatory.

🏝️ Benefits

• Company Paid Basic Life & AD&D Insurance

• Company Paid Short-Term and Long-Term Disability Insurance

• Supplemental Life & AD&D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance

• Three Cigna medical plan options, including two High Deductible Health Plans and a Traditional Co-Pay medical plan.

• Kaiser Medical plans available in California

• Health Savings Account (HSA) with company contributions for those enrolled in either HDHP medical plan.

• Two comprehensive Dental Plans

• Vision Insurance Plan

• Dependent Care Savings Account for child and dependent care expenses.

• 14 Company Paid Holidays, including a full week off during Thanksgiving.

• Generous paid time off program for vacation and sick days.

• Employee Assistance Plan

• Family Medical Leave

• Paid Parental Leave (8 weeks)

• Maternity benefits that utilize company-paid STD, any supplemental STD, plus Parental Leave (8 weeks) to facilitate recovery, baby bonding, and family time.

• Adoption Assistance Reimbursement Program

• Company Paid Concierge Services for you and your loved ones to assist with caring needs for aging parents, young children, and life's challenges.

• 401(k) Retirement Plan featuring both Traditional and Roth options with per pay period matching as well as an after-tax choice.

• Pet Insurance

• Personalized financial planning and guidance from Mercer Advisors professionals, available at preferred employee pricing.