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Job Summary:
- Serve as a first‑line resource for employee compliance inquiries
- Manage incoming requests through the firm’s compliance ticketing system
- Maintain logs and metrics related to compliance inquiries
Employee & Firm Registrations:
- Support the onboarding, offboarding, and ongoing maintenance of employee registrations
- Coordinate with Human Resources, Legal, and external partners to ensure timely and accurate registration filings
- Assist with firm‑level registrations and notice filings across all 50 states, as applicable
Regulatory Filings & Recordkeeping:
- Assist with the preparation, maintenance, and submission of regulatory filings
- Maintain supporting documentation for regulatory filings and compliance activities
- Assist with responses to routine regulatory inquiries and information requests
Mercer Advisors
Mercer Advisors helps families amplify and simplify their financial lives by integrating financial planning, investment management, tax, estate, and insurance, all managed by a team. They serve over 31,300 families in more than 90 cities across the U.S. and are ranked the #1 RIA Firm in the nation by Barron’s.