Senior Compliance Risk Leader (FINRA/SEC) | Equity Options

Mercury; United States; Remote; USD 1 - 2; Vollzeit

Benefits dieser Stelle

Equity (RSUs)

Benefits

Zusammenfassung

Mercury, a fintech building banking and financial infrastructure for startups, seeks a senior compliance testing lead to own annual programs for broker-dealer and RIA. You will design, execute, and document testing under FINRA and SEC rules, and mentor teams with clear regulatory reporting in a dynamic environment.

5+ years in compliance/audit, FINRA Series 7 and 24, and excellent documentation skills are required.

Qualifikationen

• 5+ years of compliance, audit, or operations experience at a broker-dealer or RIA.
• Active FINRA Series 7 and 24 licenses.
• Familiar with FINRA Rule 3110, Rule 2210, SEC Rule 206(4)-7, and SEC Marketing Rule.

Aufgaben

• Design, execute, and document annual compliance testing for the broker-dealer per FINRA 3110.
• Support the annual compliance testing program for the RIA per SEC 206(4)-7.
• Own and execute testing across broader compliance areas including new product rollouts and Identity Theft Prevention/BCP testing.

Kenntnisse

Regulatory experience

Documentation skills

Executive presence

Communication skills

Ambiguity navigation

Ausbildung

FINRA Series 7

FINRA Series 24

Jobbeschreibung

Mercury, a fintech building banking and financial infrastructure for startups, seeks a senior compliance testing lead to own annual programs for broker-dealer and RIA. You will design, execute, and document testing under FINRA and SEC rules, and mentor teams with clear regulatory reporting in a dynamic environment.

5+ years in compliance/audit, FINRA Series 7 and 24, and excellent documentation skills are required.