Compliance Officer, Finance & Banking

Overview

Mercer is hiring an experienced Compliance Officer to work across select U.S. locations:
New York City, Boston, St. Louis, King of Prussia, or Washington, D.C.

• Provide advisory compliance guidance for commercial activities encompassing both broker‑dealer and registered investment adviser functions.
• Review institutional marketing materials and coordinate testing and communication of testing results.
• Lead training initiatives for business teams and collaborate on enhancements across the commercial compliance program.
• Serve as subject‑matter expert on a variety of compliance areas, perform routine and unique compliance functions, make recommendations, and support formulation of responses to regulators, boards, and supervisory entities.

• BA/BS degree.
• Minimum 5 years of compliance or operations experience at a SEC registered investment adviser or service provider with progressive responsibility.
• Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933, FINRA, and ERISA regulation.
• Excellent written and verbal communication, analytical and problem‑solving, and project management skills.

• Data analytics and visualization skills.
• Strong interpersonal skills, sound judgment, and proven ability to establish relationships with key stakeholders.
• Strong change management and ability to handle multiple priorities in a fast‑paced environment.

• Hybrid work model with flexibility to work remotely and collaborate in office at least three days per week.
• Competitive base salary range $93,200 to $186,700 plus performance‑based incentives.
• Comprehensive health, welfare, tuition assistance, 401K, and employee assistance programs.