← All roles

Senior Compliance Risk Manager - Securities Compliance

Mercury· Compliance
Apply on company site
Hybrid (Remote within United States)$146.7k - $203.8kfull-timePosted 1mo ago

About the role

Senior role focused on executing Mercury’s securities compliance and supervision program, translating regulation into design and process, and providing regulatory confidence across BD and RIA entities through testing, policy management, and regulatory interactions.

Responsibilities

  • 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, including managing data requests, organizing and conducting quality assurance on document submissions, and supporting internal investigations to ensure timely, thorough, and accurate regulatory responses
  • Draft, update, and maintain the policies and procedures inventory for the BD and RIA entities, including 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 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 design and launch of new products, features, and services

Qualifications

  • 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA
  • Active FINRA Series 7 and 24 licenses
  • Familiarity with FINRA Rule 3110, Rule 2210, SEC Rule 206(4)-7, and SEC Marketing Rule
  • Ability to navigate ambiguity and apply regulatory concepts in evolving product or operational contexts
  • Excellent documentation and organizational skills with audit-ready records
  • Exceptional executive presence and credibility with senior leadership, Board, and regulators
  • Clear communication and collaborative teamwork
  • Willingness to embrace continuous improvement and use AI tools to enhance processes
  • Ability to bring clarity to ambiguity and structure to compliance program buildout
  • Balance of precision and pragmatism to scale the business responsibly

Skills

Required:Regulatory compliance program designRegulatory testingRegulatory reporting

Benefits

  • Total rewards package includes base salary, equity (stock options/RSUs), and benefits
  • Salary ranges provided based on location: NYC/LA/Seattle/SF Bay Area $163,000—$203,800 USD; other US locations $146,700—$183,400 USD
Last updated Sep 16, 2026. Interested? Apply on the company site.
Mercury logo

About Mercury

Online Business Banking For Startups & Small Businesses | Financial Workflows

Powerful banking. Simplified finances. Apply in 10 minutes for business banking that transforms how you operate.

bankingfinancial workflowsbusiness bankingmobile bankingcorporate cardscredit cardsdeposit insurancetreasury
Company profileWebsite

More open roles at Mercury