Job description

for assistingThe Company:

Merit is a fast-growing, pioneering financial services firm that invests heavily in the growth and development of team members. Merit seeks to establish, educate, and help individuals reach their financial goals as they transition into and experience retirement. With an unswerving commitment to excellence and reliability, Merit provides objective financial advice and believes in establishing long-lasting relationships. By offering an array of services, clients can receive tailored solutions that promote growth and help them achieve financial goals.

Merit believes in addressing the retirement challenges in America by helping clients reach financial freedom and confidence to the working population and retirees alike. This focus on comprehensive financial wellness enables us to deliver the ultimate client experience.

Headquartered in Alpharetta, GA, with 28 locations across the country, Merit balances tactical advice with innovative strategy. Our 183 hardworking employees are leaders rooted in humility and we are poised to grow. Merit is a multi-generational firm with a foundation built around servant leadership and total team leadership. We have been recognized as a “Best Place to Work” by InvestmentNews and have made the fastest-growing companies list in both INC 5000 and Georgia’s Fastest 40. As we expand and work to bring our relationship-driven approach to the financial industry, we are looking for the right individuals to join our team.

The Position:

This position reports directly to the Chief Compliance Officer (CCO) and is responsible for assisting the CCO and the Compliance team to develop and maintain the compliance program.

The Compliance Manager’s primary focus would be on the testing program; to conduct testing for the annual assessment, oversee the outsourced branch exam function, and ensure an integrated approach. The position is also responsible for developing the firm’s regulatory compliance risk assessment, refreshing it based on test results, and using it to drive a risk-based approach for the testing program. The position would be required to contribute to certain baseline elements of the compliance program, as would the rest of the team; advertising review, email review, assisting with updates to compliance policies and procedures and Form ADV, and conducting compliance training. Merit has an active acquisition and growth strategy, so the position would also be asked to contribute to due diligence on acquisitions and compliance reviews of new products and services. The Compliance Manager may also be asked to perform other responsibilities or special projects at the request of the CCO.

To be successful in this role, the candidate will need to have compliance experience with an SEC-registered investment adviser and be familiar with the Investment Advisers Act of 1940. The ideal candidate would also have compliance experience with a broker-dealer and be familiar with FINRA’s rules. Exposure to a hybrid adviser, preferably in the LPL network would be a plus. This position will act as a sole contributor and not have any direct reports.

Responsibilities:

• Perform advertising reviews for Merit’s Independent Financial Advisors (IFAs).
• Work with the Transitions team to conduct due diligence for new firm acquisitions.
• Help support advisors by fielding compliance questions, communicating, and advising on policy.
• Collaborate with others in Compliance to update policies and procedures and Form ADV.
• Contribute to conducting training for new hires, acquisitions, and employee continuing education.
• Conduct testing for the firm’s annual assessment and assist with drafting the annual review.
• Contribute to the outsourced branch exam program and ensure integration with annual testing.
• Collaborate with other departments to implement regulatory and business change.

Requirements:

• Bachelor’s degree in business-related area of study.
• Minimum of 5 to 7 years of recent compliance experience with a Registered Investment Adviser and/or Broker-Dealer.
• Working knowledge of SEC, FINRA, and state securities rules, regulations, issues, and concerns.
• Active FINRA Series 65 or Series 66, Series 7, and Series 24 licenses are preferred. Personable, approachable with a positive attitude and a solution-oriented mindset.
• Able to work independently with superior problem-solving, time, and project management skills.
• Able to manage and execute complex processes with attention to detail while meeting deadlines.
• Able to listen well and communicate in a professional manner (written, video calling, telephone, and in-person).
• Able to manage multiple priorities and projects; prioritize, triage, and resolve conflict effectively.
• Creative problem solver with the ability to anticipate needs and actively participate in a culture of excellence.
• Proficient in Microsoft Platform (Outlook, Word, Excel, etc.).

Salary + Benefits:

• Competitive, BOE
• Dental/Vision Insurance
• Life & Personal Accident Insurance
• Short-term Disability Insurance
• Long-term Disability Insurance
• Flexible Spending Account (FSA), Health Savings Account (HSA), or Dependent Care FSA
• 401(k) Plan with company matching
• Paid Time Off (PTO) and paid holidays

Best Places To Work for Financial Advisors 2018-2022: Best Places to Work for Financial Advisors 2018, 2019, 2020, 2021 & 2022 – Recognized firms were required to be a registered investment advisor (RIA) that has been in business at least one year and have a minimum of 15 full-time/part-time employees. The assessment consisted of a questionnaire on benefits and policies completed by human resources staff along with an engagement & satisfaction survey completed by a minimum of 40% of staff. 50 firms were selected for this award from an undisclosed list of submissions. There was no charge to be included in this award listing.

Georgia Fast 40 2019 and 2022: The Georgia Fast 40 for 2019 and 2022 was awarded by the Atlanta Chapter of the Association for Corporate Growth. To be eligible companies must be for-profit and headquartered in Georgia and the most recent year-end revenues range from $15 million to $500 million and have three years of verifiable revenue and employment growth.

Inc 5000 2019, 2020 & 2021: The Wilshire 5000 Total Market Index, which consists of more than 5000 companies, represents virtually all of the capitalization of the entire U.S. stock market.

Job Type: Full-time

Pay: $90,000.00 - $100,000.00 per year

Schedule:

• Monday to Friday

Ability to commute/relocate:

• Alpharetta, GA 30009: Reliably commute or planning to relocate before starting work (Required)

Experience:

• Compliance management: 6 years (Required)

License/Certification:

• FINRA Series 65 or Series 66, Series 7, and Series 24 (Required)

Work Location: One location

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