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Mercer Advisors · 1 day ago

Corporate Counsel - Compliance and Litigation

United States

Full-time

Remote

Mid Level

$110K/yr - $130K/yr

3+ years exp

Mercer Advisors is a leading independent fiduciary firm dedicated to simplifying financial lives. They are seeking a Corporate Counsel – Compliance & Litigation to support legal and compliance functions, focusing on investigations, regulatory compliance, and litigation management.

AdviceAsset ManagementBusiness DevelopmentFinancial ServicesInsuranceWealth Management

Responsibilities

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 ThetaLake

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

Qualification

Juris DoctorateLicense to practice lawFederal securities lawFinancial industry knowledgeEstate planning analysisAnalytical skillsHigh ethical standardsSound judgmentWriting skillsCommunication skills

Required

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

Ability to work effectively with teams and independently as well as manage and prioritize multiple projects

Excellent analytical, writing, and communication skills

High ethical standards and sound judgment

Preferred

Knowledge of and experience analyzing estate planning issue and documents preferred

Remote Based - Denver Preferred

Benefits

Company Paid Basic Life & AD&D Insurance

Company Paid Short-Term and Long-Term Disability Insurance

Supplemental Life & AD&D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance

Three medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan.

Health Savings Account (HSA) with company contributions on a per pay period basis if enrolled in either HDHP medical plan.

Two comprehensive Dental Plans

Vision Insurance Plan

Dependent Care Savings Account for child and dependent care.

14 Company Paid Holidays with a full week off at Thanksgiving.

Generous paid time off program for vacation and sick days

Employee Assistance Plan

Family Medical Leave

Paid Parental Leave (6 weeks)

Maternity benefits utilizing company paid STD, any supplemental STD, plus Parental Leave (6 weeks) to provide time for recovery, baby bonding, and enjoying your family time.

Adoption Assistance Reimbursement Program

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.

401(k) Retirement Plan with both Traditional and Roth plans with per pay period match

Pet Insurance