Corporate Counsel Compliance and Litigation

Corporate Counsel - Compliance and Litigation

Why Work at Mercer Advisors?

For 40 years, Mercer Advisors has worked with families to help them amplify and simplify their financial lives. How? By integrating financial planning, investment management, tax, estate, insurance, and more, all managed by a single team. Today we proudly serve over 31,300 families in more than 90 cities across the U.S. Ranked the #1 RIA Firm in the nation by Barron’s, we are an independent, national fiduciary legally obligated to always act in the best interest of our clients.*

Mercer Advisors offers a distinct work environment that stands out in the financial industry. Our overall employee base and client-facing team are composed of 50% women, reflecting our commitment to diversity. We attract top talent from across the country, with no formal headquarters and flexible working arrangements, allowing us to assemble the best team possible.

Join us and be a part of a team dedicated to making a meaningful impact on the financial lives of families across the country.

* 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:

We are seeking a highly motivated Corporate Counsel – Compliance & Litigation to join our in‑house legal team. This role will support the company’s legal and compliance functions with a focus on investigations, regulatory compliance, litigation management, and legal advisory services.

Essential Job Functions for this role include:

• Collaborate with Senior Corporate Counsel in conducting legally privileged investigations into allegations of misconduct or other compliance‑related issues.
• Collect and analyze evidence from various sources including internal records, communications, and systems, including but not limited to Salesforce, Box, and Theta Lake.
• Collaborate with legal, compliance, IT, and other departments to ensure investigations are comprehensive and aligned with internal protocols.
• Assist in pre‑litigation and litigation efforts including evidence‑gathering, document collection, and managing outside counsel.
• Assist in responding to subpoenas, regulatory inquiries, and audit requests, requests including gathering relevant documents and information, reviewing and redacting privileged or confidential information, compiling responses in a timely fashion.
• Monitor and track investigation outcomes and trends to identify potential areas of risk.
• Support the development and enhancement of investigation procedures and compliance programs.
• Field and respond to advisor questions related to compliance issues, (e.g. client disputes and/or complaints, privacy concerns, senior and vulnerable clients, divorcing clients, power of attorney, and trust related issues) and provide clear guidance and alignment with regulatory and internal policy requirements.
• Research and advise on contractual, business law, corporate governance, SEC‑compliance, employment, and estate law matters
• Maintain a current working knowledge of new laws and regulatory developments including legal developments affecting investigations, cybersecurity and privacy, rights of reporting individuals, and compliance‑related standards.
• Perform other duties as assigned

Knowledge, Skills, and Abilities:

• Juris Doctorate
• License to practice law in at least one state (CO preferred).
• 3+ years experience in‑house, business litigation, securities, or a related financial field.
• Knowledge of and experience within financial industry and with federal securities law including the Investment Advisor Act of 1940 and financial regulators including the SEC.
• Knowledge of and experience analyzing estate planning issue and documents preferred.
• Ability to work effectively with teams and independently as well as manage and prioritize multiple projects.
• Excellent analytical, writing, and communication…