Senior Compliance Risk Manager, Securities — Equity

Mercury; San Francisco (CA); On-site; USD 147,000 - 204,000; Full time

Benefits offered by this job

Equity (stock options/RSUs)

Benefits and competitive compensation

Job summary

Mercury seeks a Senior Compliance Risk Manager, Securities to independently drive the broker-dealer and RIA compliance program. You will own testing, policy maintenance, examinations support, and regulatory filings while partnering with Product, Legal, and Operations to ensure scalable, compliant product innovation.

You will oversee risk assessments, maintain governance documentation, and communicate findings to senior leadership.

Qualifications

• 5+ years in compliance, audit, or operations 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
• Ability to translate regulation into design and process
• Strong documentation and organizational skills
• Executive presence and ability to interact with senior leadership
• Comfort with ambiguous contexts and proactive problem solving

Responsibilities

• Design and execute the annual compliance testing program for the broker-dealer per FINRA 3110
• Support annual testing for the RIA per SEC 206(4)-7
• Lead testing across product rollouts and business continuity planning
• Coordinate regulatory examinations, data requests, and investigations
• Maintain policy and procedure inventories and compliance manuals
• Assist with regulatory reporting and entity maintenance filings (BD/RIA)
• Collaborate with Product, Engineering, Operations, Legal on regulatory risk during product launches

Skills

Regulatory compliance

Finance/regulatory licenses

Regulatory rule knowledge

Documentation & audit trails

Executive presence

Cross-functional collaboration

AI tooling for process improvement

Regulatory risk assessment

Tools

Regulatory reporting systems

Job description

Mercury seeks a Senior Compliance Risk Manager, Securities to independently drive the broker-dealer and RIA compliance program. You will own testing, policy maintenance, examinations support, and regulatory filings while partnering with Product, Legal, and Operations to ensure scalable, compliant product innovation.

You will oversee risk assessments, maintain governance documentation, and communicate findings to senior leadership.