Senior Securities Compliance Architect

Mercury; Portland (OR); On-site; USD 147,000 - 183,000; Full time

Job summary

Mercury is seeking a Senior Compliance Risk Manager, Securities to translate regulation into design and process, owning the securities compliance program across BD and RIA entities. This role conducts testing, maintains policy inventory, supports investigations and regulatory filings, and coordinates with Product, Engineering, Legal, and Operations to scale risk controls.

A strong candidate brings 5+ years of regulatory experience, FINRA licenses, and a track record of delivering compliant,

Qualifications

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

Responsibilities

• Design, execute, and document annual compliance testing program for broker-dealer per FINRA Rule 3110 and prepare FINRA Rule 3120 report.
• Support annual compliance testing program for the RIA per SEC Rule 206(4)-7.
• Own testing across broader areas including product rollouts and Business Continuity Planning for BD and RIA.
• Act as key contact during regulatory examinations, managing data requests and document submissions.

Skills

Regulatory testing

Cross-functional collaboration

Documentation

Education

FINRA Series 7 license

FINRA Series 24 license

Job description

Mercury is seeking a Senior Compliance Risk Manager, Securities to translate regulation into design and process, owning the securities compliance program across BD and RIA entities. This role conducts testing, maintains policy inventory, supports investigations and regulatory filings, and coordinates with Product, Engineering, Legal, and Operations to scale risk controls.

A strong candidate brings 5+ years of regulatory experience, FINRA licenses, and a track record of delivering compliant,