financial investment adviser

Masterworks

<div><h2 class="jobSectionHeader"><b>About Masterworks</b></h2>
<p>Masterworks Advisers is a Registered Investment Adviser that advises clients on art-related investment products. We allow anyone to invest in SEC-qualified shares of multi-million dollar paintings by artists like Banksy, Basquiat, and Picasso. We have introduced over 1 million individuals to the $2.2 trillion art market.</p>
<p>Masterworks has been covered by The New York Times, CNBC, The Wall Street Journal, and the Financial Times, and was recognized as one of the Top 50 Startups in the US by LinkedIn. In 2021, we achieved unicorn status with a $110M Series A at a valuation exceeding $1 billion. We are based at 1 World Trade Center in New York City's Financial District.</p>
<h2 class="jobSectionHeader"><b>Why Masterworks?</b></h2>
<p>If you answered &quot;Yes&quot; to any of the below, we'd love to hear from you!</p>
<ul><li>Are you passionate about democratizing alternative investments?</li><li>
Are you interested in working for a disruptive start-up, focused on a new asset class?</li><li>
Do you enjoy meaningful work that has a noticeable impact on business performance?</li></ul>
<h2 class="jobSectionHeader"><b>Position Overview</b></h2>
<p>As an Investment Adviser for Masterworks Advisers, you will play a pivotal role in growing our investor community &mdash; whether guiding prospective investors through their first art investment or nurturing relationships with our established member base. You will be matched to one of two advisory teams based on mutual fit identified during the interview process:</p>
<ul><li><b>New Investor Onboarding:</b> Serve as the first point of contact for prospective clients. Educate and advise individuals on how blue-chip art and other real or digital assets (gold, Bitcoin, etc.) can enhance their portfolio, conducting 10&ndash;20 pre-scheduled calls per day with warm, pre-qualified leads &mdash; no cold calling.</li><li><b>
Existing Investor Growth:</b> Engage with our established member base to drive repeat investment activity, conduct annual portfolio reviews discussing highlights and lowlights, present new artwork offerings, and identify expansion opportunities to maximize investor lifetime value.</li></ul>
<p>Regardless of team, you will leverage knowledge of financial markets, portfolio construction, and macroeconomics to deliver an exceptional advisory experience. Extensive training on the art market, art as an asset class, and Masterworks offerings is provided.</p>
<h2 class="jobSectionHeader"><b>Responsibilities</b></h2>
<ul><li>Advise investors on the role of blue-chip and other real or digital assets (gold, bitcoin, etc.) art as an alternative asset within a diversified portfolio</li><li>
Conduct portfolio reviews, present new artwork investment opportunities, and close investment decisions</li><li>
Re-engage inactive or lapsed investors and convert them back into active platform members (existing investor track)</li><li>
Cultivate and maintain strong, long-term relationships with investors to support ongoing investment activity</li><li>
Utilize CRM tools and dashboards to manage pipeline, track performance, and improve efficiency</li><li>
Deliver an excellent advising and onboarding experience across a wide range of investor profiles</li><li>
Ideate, design, and test new strategies to uncover growth vectors and increase KPIs</li><li>
Collaborate cross-functionally with Product, Marketing, and FinOps to achieve business objectives</li></ul>
<h2 class="jobSectionHeader"><b>Team Overview</b></h2>
<ul><li>Masterworks Advisers is a team of ~15 advisers and growing</li><li>
Advisers come from diverse professional backgrounds with a wide range of experience levels</li><li>
Team placement (new investor onboarding vs. existing investor growth) is determined during the interview process</li></ul>
<h2 class="jobSectionHeader"><b>Requirements &amp; Preferred Skills</b></h2>
<ul><li>3+ years of experience in investment advising, financial advising, or a similar client-facing role</li><li>
Ability to confidently and professionally communicate with high-profile investors (verbal and written)</li><li>
Strong interest in alternative assets, financial markets, and macroeconomics</li><li>
Excellent organizational, problem-solving, relationship-building, and time management skills</li><li>
Series 65 license from FINRA (required)</li><li>
Results-driven, competitive mentality</li><li>
Proven ability to thrive in a fast-paced, multi-task environment</li><li>
Experience using CRM tools is a plus (e.g., HubSpot)</li><li>
Passion for the &quot;business of art&quot; is a plus &mdash; no prior art knowledge required</li></ul>
<h2 class="jobSectionHeader"><b>Compensation &amp; Benefits</b></h2>
<p>Compensation range: <b>$80,000 &ndash; $120,000</b></p>
<p><b>Benefits include:</b> Daily catered lunches &middot; Free admission to art museums and galleries &middot; Health, dental, and vision coverage with FSA options &middot; Paid Parental Leave &middot; PTO and 401k &middot; Happy hours, company outings, and more</p></div>

Investment Advisor

City National Bank

<div>Overview:
<div><div><div><div><b>ABOUT US</b></div><div><p>
RBC Rochdale partners with financial advisors and their high-net-worth clients to build intelligently personalized investment portfolios. RBC Rochdale provides investment research, portfolio management, macroeconomic outlook and strategic asset allocation to help clients meet their long-term goals. RBC Rochdale, LLC is an SEC-registered investment adviser and wholly-owned subsidiary of City National Bank.</p></div></div><div><br>
</div><div><b>
INVESTMENT CONSULTANT - Remote based in CO</b></div><div></div><div><b><br>
WHAT IS THE OPPORTUNITY?</b></div><div>
Expand and deepen the network of Independent Financial Advisors, CPA's &amp; attorneys referring clients to Rochdale and to communicate and meet high net worth investors who have expressed an interest in Rochdale investment services. Develops &quot;partnering&quot; relationships with Independent Financial Advisor, accounting firms, and estate planning firms with the objective of providing the highest level of investment management services to their clients. Performance in the role is based on the acquisition of new assets under management.</div><div></div><div><b><br>
WHAT WILL YOU DO?</b></div><div><ul><li>
Develop and implement programs designed to increase the quality and quantity of Independent Financial Advisors, accounting and law firms referring clients to Rochdale</li><li>
Ensure that Independent Financial Advisors are kept abreast of firm and industry developments.</li><li>
Ensure that the transition from the sales process to portfolio management is smooth and accurate.</li><li>
Facilitate the new accounts and account transfer process.</li><li>
Handle Independent Financial Advisor and client communication.</li><li>
Prepare client presentations.</li><li>
Communicate regularly with centers of influence to ensure that products and services are meeting their needs, expectations and specifications.</li><li>
Facilitate and conduct individual meetings and presentations in assigned territory.</li><li>
Generate new assets to the firm using a highly professional consultative sales approach.</li></ul></div><div></div><div><b><br>
WHAT DO YOU NEED TO SUCCEED?</b></div><div><b>
Required Qualifications*</b><ul><li>
Bachelor's Degree</li><li>
Minimum 5 years of financial experience preferably in Investment Management</li><li>
2 years of experience in the High Net Worth or Ultra High Net Market markets</li><li>
2 + years delivering formal client presentations</li><li>
Ability to travel 40-50% of the time</li><li>
FINRA Series 65 (or 66), or the ability to obtain</li></ul><div>
</div><div><div><b>
Additional Qualifications</b></div><ul><li>
CFA - Chartered Financial Analyst (or in process of becoming CFA Charterholder)</li><li>
Highly competitive and goal-oriented</li><li>
A focus on sales and new business development</li><li>
Masters Degree preferred</li><li>
Working knowledge of portfolio management, including knowledge of investment techniques and asset allocation, investment research, capital market behaviors, and financial instruments generally acquired through years of investment and /or HNW related experience.</li><li>
Experience in the High Net Worth or Ultra High Net Market markets</li><li>
Working knowledge of financial planning, investment and/or HNW economic issues (aka &ldquo;continual learner&rdquo;) and the ability to apply principal techniques of portfolio management, along with excellent communication skills to effectively interface with clients and investment colleagues.</li><li>
Prior success in the HNW or UHNW market</li><li>
Excellent communication skills</li><li>
Self-motivated and self-disciplined</li><li>
Strategic thinker, able to assess and recommend a course of action</li><li>
Highest level of both personal and professional demeanor and ethical behavior</li></ul></div></div></div><div><b><br>
WHAT'S IN IT FOR YOU?</b></div><div><b>
Compensation</b><div>
Starting base salary: $101,231 - $172,355 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.</div></div><div><b><br>
Benefits and Perks</b></div><div>
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:<ul><li>
Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date</li><li>
Generous 401(k) company matching contribution</li><li>
Career Development through Tuition Reimbursement and other internal upskilling and training resources</li><li>
Valued Time Away benefits including vacation, sick and volunteer time</li><li>
Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs</li><li>
Career Mobility support from a dedicated recruitment team</li><li>
Colleague Resource Groups to support networking and community engagement</li></ul><div>
</div><div>
Get a more detailed look at our Benefits and Perks.</div></div><div><b><br>
ABOUT US</b></div><div>
Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America&rsquo;s leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at About Us.</div><div><b><br>
INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT</b></div><div>
City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.<br>
<br>
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.<br>
<br>
<ul><li>Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.</li></ul><br>
Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.</div><div></div><div><div><br>
#LI-DN1</div><div>
#CA-DN1</div></div></div></div>

Investment Consultant

Union Square House Real Estate

<p><b>Role Overview</b></p><p>We are seeking an experienced and highly driven <b>Investment Advisor</b> to join our growing team. This role is ideal for a seasoned real estate professional with a strong investment mindset, deep market knowledge, and a proven track record of advising high-net-worth individuals and institutional investors. You will play a key role in structuring profitable property investments, building long-term client relationships, and driving portfolio growth.</p><p><b>Key Responsibilities</b></p><ul><li>Advise clients on strategic real estate investments, including residential, commercial, and off-plan opportunities</li><li>Analyze market trends, investment risks, yields, and capital appreciation potential</li><li>Build and manage a strong portfolio of high-net-worth and investor clients</li><li>Structure tailored investment strategies aligned with clients&rsquo; financial objectives</li><li>Negotiate and close high-value property transactions</li><li>Collaborate closely with developers, landlords, and internal sales teams</li><li>Stay up to date with Dubai real estate regulations, market movements, and investment opportunities</li></ul><p><b>Qualifications &amp; Experience</b></p><ul><li>Minimum 1 year of experience in real estate investment advisory or brokerage</li><li>Strong understanding of Dubai&rsquo;s real estate market and investment cycles</li><li>Excellent financial analysis, negotiation, and presentation skills</li><li>Strong client relationship management and communication abilities</li><li>Entrepreneurial mindset with a results-driven approach</li></ul><p><b>What We Offer</b></p><ul><li>Competitive commission structure with high earning potential</li><li>Access to exclusive developer projects and premium listings</li><li>Strong brand presence and marketing support</li><li>Professional growth opportunities within a leading brokerage firm</li><li>Collaborative, high-performance work environment</li><li>3 offices based in prime Dubai location</li></ul><p>Job Type: Full-time</p><p>Work Location: In person</p>

U.S. Securities and Exchange Commission

U.S. TREASURY SECURITIES MARKET STRUCTURE ADVISER

U.S. Bank

<p></p><div><p>At U.S. Bank, we&rsquo;re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at&mdash;all from Day One.</p><p></p><h2 class="jobSectionHeader"><b>
Job Description</b></h2><p>
The successful candidate for this position will play a critical role in supporting and overseeing the compliance program for an SEC‑registered investment adviser and affiliated registered investment companies. This individual will bring deep regulatory expertise, strong judgment, and exceptional communication skills to provide practical, risk‑based compliance guidance across the organization. The role requires the ability to pivot quickly as regulatory expectations, business initiatives, and job needs evolve, while maintaining a high standard of accuracy, documentation, and professionalism.</p><p></p><p><b>
Key Responsibilities</b>:</p><ul><li><p>
Investment Adviser &amp; Investment Company Compliance</p></li><li><p>
Provide day‑to‑day compliance support for an SEC‑registered investment adviser, including interpretation and application of the Investment Advisers Act of 1940 and related SEC rules.</p></li><li><p>
Support compliance oversight for registered investment companies, including mutual funds or similar products, in coordination with internal stakeholders and service providers.</p></li><li><p>
Assist with the development, implementation, and maintenance of compliance policies, procedures, and controls designed to meet evolving regulatory expectations.</p></li><li><p>
Review and approve marketing, advertising, and communications materials in accordance with the SEC Investment Adviser Marketing Rule and applicable FINRA standards.</p></li><li><p>
Partner closely with marketing, legal, and business teams to ensure communications are accurate, balanced, and compliant while supporting business objectives.</p></li><li><p>
Maintain documentation and records supporting marketing review and approval processes, including substantiation and required disclosures.</p></li><li><p>
Translate complex regulatory concepts into clear, practical guidance for business partners and senior leadership.</p></li><li><p>
Monitor regulatory developments and assist in assessing their impact on policies, procedures, and business practices.</p></li><li><p>
Support compliance testing, certifications, and periodic reviews.</p></li><li><p>
Demonstrate flexibility and adaptability by taking on new responsibilities as the compliance program and business needs evolve.</p></li></ul><p></p><div>
Basic Qualifications<br>
<ul><li>Bachelor's degree, or equivalent work experience</li><li>Typically more than six years of applicable experience</li></ul></div><ul><li><b>Series 6 or Series 7 at minimum, and ideally Series 24 and/or Series 26</b> (or willingness to obtain)</li></ul><p></p><p>
Preferred Skills/Experience</p><ul><li>Compliance experience with an SEC‑registered investment adviser, including hands‑on responsibility for advisory compliance matters.</li><li>FINRA registration/licensure, with active licenses or the ability to obtain required registrations within 4 months of start date (e.g., Series 7, 24, 63, 65, or equivalent, as applicable).</li><li>Demonstrated experience supporting registered investment company compliance.</li><li>Strong working knowledge of marketing and advertising review requirements under the SEC and FINRA frameworks.</li><li>Exceptional written and verbal communication skills, with the ability to explain complex regulatory concepts clearly and effectively.</li><li>Proven ability to pivot, prioritize, and adapt in a dynamic regulatory and business environment.</li><li>Strong research, analytical, and administrative skills, with a high level of accuracy and attention to detail.</li></ul><p></p><p><b>
Location expectations</b><br>
<b><i>This role requires working from a U.S. Bank location three (3) or more days per week.</i></b></p><p></p><p>
If there&rsquo;s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.
</p><p></p><p><b>Benefits:</b></p><p>
Our approach to benefits and total rewards considers our team members&rsquo; whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:</p><ul><li><p>
Healthcare (medical, dental, vision)</p></li><li><p>
Basic term and optional term life insurance</p></li><li><p>
Short-term and long-term disability</p></li><li><p>
Pregnancy disability and parental leave</p></li><li><p>
401(k) and employer-funded retirement plan</p></li><li><p>
Paid vacation (from two to five weeks depending on salary grade and tenure)</p></li><li><p>
Up to 11 paid holiday opportunities</p></li><li><p>
Adoption assistance</p></li><li><p>
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law</p></li></ul><p></p><p>
Review our full benefits available by employment status here.
</p><p></p><p>U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.</p><p></p><p><b>
E-Verify</b></p><p>
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services.</p><p></p>
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,175.00 - $115,500.00<p></p><p>
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.</p><p></p><p>
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.</p><p></p><p><b>
Posting may be closed earlier due to high volume of applicants.</b></p></div>

Compliance Manager

Pacific Life

<b>Job Description:</b><br>
Pacific Life is investing in bright, agile and diverse talent to contribute to our mission of innovating our business and creating a superior customer experience. We’re actively seeking a talented Mutual Fund/Investment Compliance Analyst to join our Funds Law Team. Preference is for this person to be based in Newport Beach, CA (hybrid 4 days per week in office) but open to Omaha, NE office as well.
<br><br>
As a Mutual Fund/Investment Compliance Analyst, you’ll play a key role in Pacific Life’s growth and long-term success by supporting the legal requirements for Pacific Select Fund (mutual fund) and Pacific Life Fund Advisors (investment adviser) and cross-train with our Variable Products Team. You will fill an existing role that sits on a team of four in the Corporate Division, Office of the General Counsel. Your team colleagues will include counsel, paralegal and analyst professionals in a close-knit supportive team environment.
<br><br>
<b>How you will make an impact:</b><br>
Assist with the preparation of legal regulatory filings for Pacific Select Fund, a mutual fund complex with over $40 billion in client assets.
<br>Provide analysis and support to the investment adviser Pacific Life Fund Advisors LLC
<br>Prepare board materials regarding the funds and the adviser
<br>Assist and cross-train with Pacific Life variable insurance products as needed
<br><br>
<b>The experience you will bring:</b><br>
0 to 2 years’ experience with mutual funds, investment advisors, variable insurance products and/or applicable federal statutes (extensive training will be provided)
<br>Computer fluency, including Microsoft Office and SharePoint On-Line
<br>Document database system experience a plus (extensive training will be provided)
<br>Exceptional attention to detail and proofreading skills.
<br>Excellent organizational, time management and people skills are a must.
<br><br>
<b>What will make you stand out:</b><br>
4-year degree
<br>Ability to work under deadlines in a cyclical stress environment
<br>Team orientation while also exhibiting independence professional work ethic requiring minimal supervision
<br><br>
#LI-TB1
<br><br>
<b>Base Pay Range:</b><br>
The base pay range noted represents the company’s good faith minimum and maximum range for this role at the time of posting. The actual compensation offered to a candidate will be dependent upon several factors, including but not limited to experience, qualifications and geographic location. Also, most employees are eligible for additional incentive pay.
<br>$33.58 - $41.04
<br><br>
Your Benefits Start Day 1
<br><br>
Your wellbeing is important to Pacific Life, and we’re committed to providing you with flexible benefits that you can tailor to meet your needs. Whether you are focusing on your physical, financial, emotional, or social wellbeing, we’ve got you covered.
<br><br>
Prioritization of your health and well-being including Medical, Dental, Vision, and Wellbeing Reimbursement Account that can be used on yourself or your eligible dependents
<br><br>
<b>Generous paid time off options including:</b> Paid Time Off, Holiday Schedules, and Financial Planning Time Off
<br><br>
Paid Parental Leave as well as an Adoption Assistance Program
<br><br>
Competitive 401k savings plan with company match and an additional contribution regardless of participation
<br><br>
You Can Be Who You Are
<br><br>
We are committed to a culture of diversity and inclusion that embraces the authenticity of all employees, partners and communities. We support all employees to thrive and achieve their fullest potential.
<br><br>
What’s life like at Pacific Life? Visit Instagram.com/lifeatpacificlife
<br><br>
<b>EEO Statement:</b><br>
Pacific Life Insurance Company is an Equal Opportunity /Affirmative Action Employer, M/F/D/V. If you are a qualified individual with a disability or a disabled veteran, you have the right to request an accommodation if you are unable or limited in your ability to use or access our career center as a result of your disability. To request an accommodation, contact a Human Resources Representative at Pacific Life Insurance Company.

Mutual Fund/Investment Compliance Analyst

Mercer Advisors

<div><div><p><b>Why Work at Mercer Advisors?</b></p>
<p>
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.*</p>
<p>
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.</p>
<p>
Join us and be a part of a team dedicated to making a meaningful impact on the financial lives of families across the country.</p>
<ul><li>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 &ndash; 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.</li></ul></div><p></p><p><b><br>
Job Summary:
</b></p><p>The Compliance Analyst supports the firm's enterprise compliance program by serving as a primary point of contact for employee compliance inquiries, managing incoming compliance requests through the firm's ticketing system, and administering employee onboarding, registrations, certifications, and regulatory filings. This role plays a critical operational function in maintaining compliance with SEC and state regulatory requirements applicable to a nationally operating registered investment adviser.<b>
</b></p><p><b>Essential Job Functions for the Compliance Analyst will include but are not limited to the following:</b></p>
<p><b>
Employee Inquiries &amp; Compliance Ticket Management</b></p>
<ul>
<li>Serve as a first‑line resource for employee compliance inquiries, providing guidance on policies, procedures, and regulatory requirements or escalating matters as appropriate.</li>
<li>Manage and monitor incoming requests through the firm's compliance ticketing system, ensuring timely intake, tracking, resolution, and documentation.</li>
<li>Route inquiries to appropriate compliance team members and follow up to ensure completion and proper recordkeeping.</li>
<li>Develop competency and expertise in compliance software and systems used to support the compliance operations function.</li>
<li>Maintain logs and metrics related to compliance inquiries and issue resolution.</li>
</ul>
<p><b>Employee &amp; Firm Registrations</b></p>
<ul>
<li>Support the onboarding, offboarding, and ongoing maintenance of employee registrations, including preparation and processing of Form U4, U5, and amendments, as applicable.</li>
<li>Coordinate with Human Resources, Legal, and external partners to ensure timely and accurate registration filings.</li>
<li>Track employee licensing, registrations, continuing education requirements, and related attestations.</li>
<li>Assist with firm‑level registrations and notice filings across all 50 states, as applicable.</li>
</ul>
<p><b>Regulatory Filings &amp; Recordkeeping</b></p>
<ul>
<li>Assist with the preparation, maintenance, and submission of regulatory filings, including Form ADV (Parts 1, 2A, and 2B) and other periodic or event‑driven filings.</li>
<li>Maintain supporting documentation for regulatory filings and compliance activities in accordance with record retention requirements.</li>
<li>Monitor regulatory calendars to ensure required filings and updates are completed accurately and on time.</li>
<li>Assist with responses to routine regulatory inquiries and information requests.</li>
</ul>
<p><b>General Compliance Support</b></p>
<ul>
<li>Assist with administration of the firm's compliance program, including policies and procedures, training tracking, and compliance documentation, and code of ethics administration.</li>
<li>Support preparation for SEC examinations and state regulatory reviews, including document collection and tracking of examiner requests.</li>
<li>Stay current on regulatory developments affecting investment advisers and escalate relevant changes to senior compliance staff.</li>
<li>Perform additional compliance‑related duties and special projects as assigned.</li>
</ul>
<p><b> Required Knowledge, Skills and Abilities:
</b></p><ul><li>Bachelor's degree required.</li>
<li>1&ndash;3 years of experience in a compliance, regulatory, or operations role within an investment adviser, broker‑dealer, or financial services firm.</li>
<li>Working knowledge of SEC investment adviser regulations and state registration requirements.</li>
<li>Preferred, but not required, to have experience with FINRA Gateway system as it is utilized for investment adviser registration activities.</li>
<li>Strong organizational skills and ability to manage multiple priorities in a deadline‑driven environment.</li>
<li>High attention to detail with strong documentation and follow‑through skills.</li>
<li>Professional and responsive communication style when interacting with employees and stakeholders.</li>
<li>Ability to exercise sound judgment and escalate issues appropriately.</li>
<li>Proficiency in Microsoft Excel, Word, Outlook, and PowerPoint; experience with compliance tracking or ticketing systems a plus.</li>
</ul>
<p><b>Certificates, Licenses, Registrations:
</b></p><ul><li>IACCP, CSCP or equivalent preferred, not required.</li>
</ul>
<p><b> Work Schedule:</b> Monday through Friday, 8:00AM &ndash; 5:00PM</p>
<p><b>
Working Conditions: Professional</b> office environment, daytime hours, working inside, standing, and sitting, will be assigned to a workstation, no heavy lifting over 10 lbs.</p><div><p><b>
Benefits:</b></p>
<p>
Mercer Advisors offers a competitive and robust benefit package to our employees. Our benefit programs are focused on meeting all of our employees and their eligible dependents health and welfare needs. We offer the following:</p>
<ul>
<li>Company Paid Basic Life &amp; AD&amp;D Insurance</li>
<li>Company Paid Short-Term and Long-Term Disability Insurance</li>
<li>Supplemental Life &amp; AD&amp;D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance</li>
<li>Three Cigna medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan.</li>
<li>Kaiser Medical plans available in California</li>
<li>Health Savings Account (HSA) with company contributions if enrolled in either HDHP medical plan.</li>
<li>Two comprehensive Dental Plans</li>
<li>Vision Insurance Plan</li>
<li>Dependent Care Savings Account for child and dependent care.</li>
<li>14 Company Paid Holidays including a full week off at Thanksgiving.</li>
<li>Generous paid time off program for vacation and sick days</li>
<li>Employee Assistance Plan</li>
<li>Family Medical Leave</li>
<li>Paid Parental Leave (8 weeks)</li>
<li>Maternity benefits utilizing company paid STD, any supplemental STD, plus Parental Leave (8 weeks) to provide time for recovery, baby bonding, and enjoying your family time.</li>
<li>Adoption Assistance Reimbursement Program</li>
<li>Company Paid Concierge Services for you and your loved ones for the spectrum of caring needs for your aging parents, young children, life's challenges and more.</li>
<li>401(k) Retirement Plan with both Traditional and Roth plans with per pay period match as well as an after-tax option</li>
<li>Pet Insurance</li>
</ul>
<p><b>We are not accepting unsolicited resumes from agencies and/or search firms for this job posting.</b></p>
<p><i>
Mercer Advisors is an equal opportunity employer and does not discriminate on the basis of any characteristic protected by applicable federal, state, or local law. Mercer Advisors participates in E-Verify and complies with federal employment eligibility verification requirements.</i></p>
<p>
If you need an accommodation during the application or hiring process, please email PeopleTeam@merceradvisors.com. <b><i>This inbox is for accommodation requests only.</i></b></p>
<p>
For information about applicant rights, required employment notices, E-Verify participation, and state specific disclosures, please review our <b>Applicant Notices and Employment Rights</b>.</p>
<p>
If you are a resident of California, learn more about Mercer's California Consumer Privacy Policy here.<br>
CCPA Notice at Collection</p></div></div>

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