Senior Compliance Risk Manager - Securities Compliance

Design, execute, and document the annual compliance testing program for the broker-dealer in accordance with FINRA Rule 3110, including authoring the comprehensive FINRA Rule 3120 report detailing testing results, findings, and supervisory recommendations and coordinate the annual certification process to ensure timely completion

Support and document the annual compliance testing program for the RIA in accordance with SEC Rule 206(4)-7

Own and execute testing across broader compliance areas, including new product rollouts, annual Identity Theft Prevention Program testing, and Business Continuity Planning testing, and others as needed to ensure operational resilience across both the BD and RIA entities

Act as a key point of contact during regulatory examinations, investigations, or audits, which includes managing data requests, organizing and conducting quality assurance on document submissions, and support internal investigations to ensure timely, thorough, and accurate regulatory responses

Draft, update, and maintain the policies and procedures inventory on behalf of the BD and RIA entities, including the Written Supervisory Procedures and Compliance Manual and related policies across the enterprise to reflect regulatory updates, business evolution, and testing remediations

Assist with required regulatory reporting and entity maintenance filings including, but not limited to, Form BD, Form BR, Form ADV, Form CRS, and other state registration maintenance across both the BD and RIA entities

Partner with Product, Engineering, Operations, Legal, and other relevant teams to evaluate regulatory risk, licensing considerations, and compliance operational requirements during the design and launch of new products, features, and services

Have 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA

Hold active FINRA Series 7 and 24 licenses

Be familiar with core rules and frameworks including FINRA Rule 3110, Rule 2210, SEC Rule 206(4)-7, and SEC Marketing Rule

Be comfortable navigating ambiguity and applying regulatory concepts in evolving product or operational contexts

Have excellent documentation and organizational skills—you’ll need to write clearly and manage records that stand up to audit

Demonstrate exceptional executive presence, presenting comfortably and with high professional credibility to senior leadership, the Board of Directors, and regulators

Communicate clearly and enjoy working collaboratively to move things forward

Embrace continuous improvement across the Compliance function and be comfortable using and implementing AI tools to drive better and stronger processes

Bring clarity to ambiguity and structure to compliance program buildout

Balance precision and pragmatism to help the business scale responsibly

Mercury values diversity & belonging and is proud to be an Equal Employment Opportunity employer. All individuals seeking employment at Mercury are considered without regard to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, sexual orientation, or any other legally protected characteristic. We are committed to providing reasonable accommodations throughout the recruitment process for applicants with disabilities or special needs. If you need assistance, or an accommodation, please let your recruiter know once you are contacted about a role.

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Total Rewards The total rewards package at Mercury includes base salary, equity (stock options/RSUs), and benefits.

Our salary and equity ranges are highly competitive within the SaaS and fintech industry and are updated regularly using the most reliable compensation survey data for our industry. New hire offers are made based on a candidate’s experience, expertise, geographic location, and internal pay equity relative to peers.

Our target new hire base salary ranges for this role are the following: