Senior Compliance Risk Manager – Securities Compliance

🕒 September 15

🏄 California, New York, +1 more states – Remote

🏄 California – Remote 🗽 New York – Remote 🌲 Oregon – Remote

💵 $146.7k - $203.8k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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Mercury

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 2017

💳 Fintech

🏦 Banking

☁️ SaaS

Fintech • Banking • SaaS

Mercury is a software-driven fintech that provides business and personal banking products built for startups and small to mid-size companies. Its platform offers business checking and savings, Treasury products, business credit cards and spend management, payments and invoicing, accounting integrations and AI-powered automations, plus APIs and developer tools. Mercury partners with FDIC-insured banks to offer deposit protection, emphasizes virtual cards, granular spend controls, and workflow automations for teams, agencies, ecommerce brands, VC funds, and crypto businesses. The product is positioned as an all-in-one banking and finance platform delivered through a modern app and API.

📋 Description

• Design, execute, and document the annual broker-dealer compliance testing program in accordance with FINRA Rule 3110 • Author the comprehensive FINRA Rule 3120 report and coordinate the annual certification process • Support and document the annual RIA compliance testing program in accordance with SEC Rule 206(4)-7 • Execute testing for new product rollouts, Identity Theft Prevention Program, Business Continuity Planning, and other compliance areas • Serve as a key contact during regulatory examinations, investigations, and audits • Manage data requests and organize and quality-assure document submissions • Support internal investigations and regulatory responses • Draft, update, and maintain policies and procedures for broker-dealer and RIA entities • Assist with regulatory reporting and entity maintenance filings, including Forms BD, BR, ADV, and CRS • Partner with Product, Engineering, Operations, Legal, and other teams on regulatory risk, licensing, and compliance requirements for new products and services

🎯 Requirements

• 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA • Active FINRA Series 7 and Series 24 licenses • Familiarity with FINRA Rule 3110, FINRA Rule 2210, SEC Rule 206(4)-7, and the SEC Marketing Rule • Excellent documentation and organizational skills • Ability to present to senior leadership, the Board of Directors, and regulators • Clear communication and collaborative working style • Comfort using and implementing AI tools • Ability to navigate ambiguity and apply regulatory concepts in evolving product or operational contexts

🏖️ Benefits

• Equity (stock options/RSUs) • Benefits package • Reasonable accommodations throughout the recruitment process for applicants with disabilities or special needs

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