Senior Compliance Risk Manager - Securities Compliance (Fully Remote)

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

• 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.
• 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.

Qualifications:

• 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.

Skills and Mindset:

• Be comfortable navigating ambiguity and applying regulatory concepts in evolving product or operational contexts.
• Have excellent documentation and organizational skills.
• Demonstrate exceptional executive presence and communicate clearly, enjoying collaborative work.

Compensation and Benefits:

• Base salary range varies by location, with higher range for NYC, LA, Seattle, and SF Bay Area.
• Total rewards include base salary, equity (stock options/RSUs), and benefits.
• Mercury values diversity and provides reasonable accommodations for applicants with disabilities.

Mercury

Mercury is a fintech company building banking and financial infrastructure for startups, offering services through partner banks. The company values compliance as a foundation for trust and growth, fostering a collaborative and diverse work environment.