Senior Compliance Risk Manager - Securities Compliance

At Mercury, we believe compliance is the infrastructure of trust—a way to engineer safety, transparency, and integrity directly into the architecture of financial innovation. We're hiring a Senior Compliance Risk Manager, Securities to independently execute on our securities compliance and supervision program while driving high-quality oversight across regulated entities, marketing programs, and financial partnership projects.

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.
• 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.
• Act as a key point of contact during regulatory examinations, investigations, or audits, managing data requests and document submissions.
• Draft, update, and maintain the policies and procedures inventory on behalf of the BD and RIA entities, including Written Supervisory Procedures and the Compliance Manual.
• Assist with required regulatory reporting and entity maintenance filings including Form BD, Form BR, Form ADV, and Form CRS.
• Partner with Product, Engineering, Operations, and Legal teams to evaluate regulatory risk and licensing considerations for new products.

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 core rules and frameworks including FINRA Rule 3110, Rule 2210, SEC Rule 206(4)-7, and the SEC Marketing Rule.
• Comfortable navigating ambiguity and applying regulatory concepts in evolving product contexts.
• Excellent documentation and organizational skills with the ability to write clearly for audit readiness.
• Exceptional executive presence and ability to present comfortably to senior leadership, the Board of Directors, and regulators.
• Experience using and implementing AI tools to drive better compliance processes.