Trading Operations Lead — FinTech Compliance & Oversight

Mercury; San Francisco (CA); On-site; USD 135,000 - 169,000; Full time

Job summary

Mercury is building a complete finance stack for startups and is seeking a Trading Operations Lead to own and scale regulatory-compliant trading operations for its SEC-registered investment advisor and FINRA-member broker-dealer. You will lead supervisory frameworks, controls, and investigations, partnering with Engineering, Compliance, and external brokers.

The role requires active FINRA licenses, extensive trading ops experience, and hands-on work across fixed income, funds, and ETFs.

Qualifications

• Hold active FINRA Series 7, Series 63, and Series 24 licenses.
• 8+ years in trading, brokerage, or investment operations.
• Hands-on experience across fixed income, mutual funds, and ETFs.
• Knowledge of FINRA and SEC rules and regulations.

Responsibilities

• Own the trading operations and supervisory framework across multiple product classes.
• Oversee trade surveillance, post-trade controls, and error remediation.
• Coordinate with partners to ensure compliance with SEC and FINRA rules.
• Lead operational readiness for regulatory exams, audits, and testing.
• Manage relationships with carrying brokers, custodians, and fund companies.

Job description

Mercury is building a complete finance stack for startups and is seeking a Trading Operations Lead to own and scale regulatory-compliant trading operations for its SEC-registered investment advisor and FINRA-member broker-dealer. You will lead supervisory frameworks, controls, and investigations, partnering with Engineering, Compliance, and external brokers.

The role requires active FINRA licenses, extensive trading ops experience, and hands-on work across fixed income, funds, and ETFs.