Senior Compliance Specialist
- Handles complex specialized compliance routines, such as licensing, monitoring, research, training and awareness, data compilation and synthesis, report drafting, and task management for assigned area, country or geography. Makes recommendations based on review and escalates issues as appropriate. Supports formulation of responses which may include responses to regulators and other supervisory entities.
- Reviews marketing and sales pieces in an effort to confirm adherence to Mercer standards and regulatory requirements.
- Assists a more senior Compliance role with the development of policies and procedures to meet regulatory requirements. Drafts, makes recommendations, and amends compliance procedures.
- Proactively identifies Compliance initiatives and responds to questions from business colleagues on the application of Compliance programs. Advises colleagues on licensing issues and resolves licensing in jeopardy.
- Assists with various regulatory filings for Mercer's registered investment advisers, including Form 13F, and Form ADV.
- Monitors investment activities for compliance with client guidelines and colleague adherence to policies, procedures, and other compliance requirements.
- Conducts due diligence on subadvisors for adherence to regulatory requirements and compliance best practices.
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