Senior Compliance Risk Manager, Securities (Remote)

Mercury Technologies, Inc.; San Francisco, Northern (CA, KY); Hybrid; USD 147,000 - 183,000; Full time

Benefits offered by this job

Equity (stock options/RSUs)

Job summary

Mercury Technologies, Inc. is hiring a Senior Compliance Risk Manager, Securities to translate regulation into design and to lead the securities compliance program across BD and RIA entities.

This role combines tactical execution with strategic ownership, including testing, policy maintenance, regulatory filings, and examinations support. You will partner with Product, Engineering, Operations, Legal, and Marketing to assess regulatory risk in new products and launches, while maintaining

Qualifications

• 5+ years of experience in compliance, audit, or operations at a broker-dealer or RIA.
• Active FINRA Series 7 and Series 24 licenses.
• Familiar with FINRA Rule 3110, Rule 2210, SEC Rule 206(4)-7, and SEC Marketing Rule.
• Ability to write clearly and maintain audit-ready records.
• Strong executive presence and communication with leadership and regulators.
• Comfort navigating ambiguity and applying regulatory concepts to evolving products.

Responsibilities

• Design, execute, and document the annual compliance testing program for the broker-dealer per FINRA 3110 and 3120.
• Support annual compliance testing for the RIA per SEC 206(4)-7.
• Own testing across BD and RIA for product rollouts, identity theft prevention, and BCM testing.
• Coordinate regulatory examinations, data requests, and submissions for regulatory responses.
• Maintain policies and procedures inventory including WSP and Compliance Manual.
• Assist with regulatory filings such as Form BD, BR, ADV, CRS across BD and RIA.
• Collaborate with Product, Engineering, Operations, Legal to assess regulatory risk during design/launch.

Skills

Regulatory compliance

Risk assessment

Documentation skills

Cross-functional collaboration

Tools

FINRA Series 7

FINRA Series 24

Job description

Mercury Technologies, Inc. is hiring a Senior Compliance Risk Manager, Securities to translate regulation into design and to lead the securities compliance program across BD and RIA entities.

This role combines tactical execution with strategic ownership, including testing, policy maintenance, regulatory filings, and examinations support. You will partner with Product, Engineering, Operations, Legal, and Marketing to assess regulatory risk in new products and launches, while maintaining