Senior Compliance Risk Manager - Securities Compliance

Mercury
San Francisco, New York, United States
Workplace: RemoteFull timeUSD 146,700 - 203,800 annuallyFunction: Legal, Risk & ComplianceExperience: 5+ yearsSkills: ["Documentation","Organizational skills","Executive presence","Collaboration","Continuous improvement"]

Own and execute Mercury’s securities compliance and supervision program, translating FINRA and SEC requirements into scalable controls across broker-dealer and RIA entities. Lead annual compliance testing, certification, and documentation, act as a key point of contact during examinations and audits, and maintain policies and procedures inventory. Partner cross-functionally to evaluate regulatory risk for new products and ensure timely, accurate regulatory filings and responses.

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Mercury
Mercury
14 hours ago

Senior Compliance Risk Manager - Securities Compliance

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Job Summary

Own and execute Mercury’s securities compliance and supervision program, translating FINRA and SEC requirements into scalable controls across broker-dealer and RIA entities. Lead annual compliance testing, certification, and documentation, act as a key point of contact during examinations and audits, and maintain policies and procedures inventory. Partner cross-functionally to evaluate regulatory risk for new products and ensure timely, accurate regulatory filings and responses.
Location: San Francisco, New York, United States
Workplace: Remote
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Sr. Manager level

Key Responsibilities

  • •Design, execute, and document the annual broker-dealer compliance testing program under FINRA Rule 3110, including authoring the FINRA Rule 3120 report and coordinating annual certification.
  • •Support the annual RIA compliance testing program under SEC Rule 206(4)-7.
  • •Execute testing across broader compliance areas including new product rollouts, Identity Theft Prevention Program testing, and Business Continuity Planning testing.
  • •Serve as the point of contact during regulatory examinations, investigations, or audits, managing data requests and ensuring quality assurance on submissions.
  • •Draft, update, and maintain BD/RIA policies and procedures inventory (including Written Supervisory Procedures and Compliance Manual) and support regulatory reporting filings (e.g., Form BD, Form BR, Form ADV, Form CRS).

Pay and Benefits

Salary: USD 146,700 - 203,800 annually

Key Requirements

  • •5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA.
  • •Hold active FINRA Series 7 and 24 licenses.
  • •Familiarity with FINRA Rule 3110, FINRA Rule 2210, SEC Rule 206(4)-7, and SEC Marketing Rule.
  • •Comfort navigating ambiguity and applying regulatory concepts in evolving product or operational contexts.
  • •Excellent documentation and organizational skills to manage records that stand up to audit.
Experience:5+ yearsFintechSaaS
Skills:DocumentationOrganizational skillsExecutive presenceCollaborationContinuous improvement
Licenses:FINRA Series 7FINRA Series 24
Languages:English
Tech Stack:AI

Company Brief

Mercury
Provides banking and financial infrastructure for startups and small businesses, offering business checking accounts, payments, debit cards, venture debt integrations, and treasury services via a developer-friendly platform.
Industry: Fintech Infrastructure
Company Size: Large (251 to 1,000 employees)
Growth: Scaleup
Valuation: Unicorn (USD 1B+)
Funding: Series C
Headquarters: San Francisco, United States
Founded: 2017
WebsiteLinkedIn