Senior Securities Compliance & Risk Manager

Quiet Capital; California (MO); On-site; USD 147,000 - 204,000; Full time

Benefits offered by this job

Equity (stock options/RSUs)

Benefits

Job summary

Mercury is seeking a Senior Compliance Risk Manager, Securities, to translate regulation into design and design into process across the broker-dealer and RIA ecosystem. You will independently run the securities compliance program and provide regulatory confidence for growth.

The role requires 5+ years in compliance, active FINRA Series 7 and 24 licenses, excellent documentation, executive presence, and cross-functional collaboration with product, legal, engineering, and operations.

Qualifications

• 5+ years of experience in compliance, audit, or operations roles 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 manage records that stand up to audit.
• Excellent executive presence and cross-functional collaboration.
• Comfort with using AI tools to drive better processes.

Responsibilities

• Design, execute, and document the annual compliance testing program for the broker-dealer in accordance with FINRA Rule 3110.
• 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 for new products and continuity planning.
• Act as a key contact during regulatory examinations and manage data requests and document submissions.
• Draft, update, and maintain policies and procedures across BD and RIA entities.

Skills

Regulatory compliance

Financial regulation

Regulatory reporting

Executive presence

Risk assessment

Job description

Mercury is seeking a Senior Compliance Risk Manager, Securities, to translate regulation into design and design into process across the broker-dealer and RIA ecosystem. You will independently run the securities compliance program and provide regulatory confidence for growth.

The role requires 5+ years in compliance, active FINRA Series 7 and 24 licenses, excellent documentation, executive presence, and cross-functional collaboration with product, legal, engineering, and operations.