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Salary: USD 146,700 - 203,800 / annual
Mercury is a fintech platform providing banking, treasury, and financial workflow solutions for startups and technology companies. The company is hiring a Senior Compliance Risk Manager, Securities to lead and execute the securities compliance and supervision program across regulated entities, marketing programs, and financial partnerships.
This role bridges tactical execution with strategic ownership, providing operational clarity and regulatory confidence in how Mercury builds and scales. You will independently execute on compliance testing, inspections, and oversight while driving high-quality supervision across the organization. The position involves close coordination with licensed employees and stakeholders across Product, Marketing, Support, Legal, and Operations.
Key Responsibilities:
- Design, execute, and document the annual compliance testing program for the broker-dealer in accordance with FINRA Rule 3110, including authoring the comprehensive FINRA Rule 3120 report detailing testing results, findings, and supervisory recommendations; coordinate the annual certification process
- 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, including new product rollouts, annual Identity Theft Prevention Program testing, Business Continuity Planning testing, and others to ensure operational resilience across both BD and RIA entities
- Act as a key point of contact during regulatory examinations, investigations, or audits, managing data requests, organizing document submissions, and supporting internal investigations
- Draft, update, and maintain the policies and procedures inventory on behalf of BD and RIA entities, including Written Supervisory Procedures, Compliance Manual, and related policies to reflect regulatory updates and business evolution
- Assist with required regulatory reporting and entity maintenance filings including Form BD, Form BR, Form ADV, Form CRS, and state registration maintenance
- Partner with Product, Engineering, Operations, Legal, and other teams to evaluate regulatory risk, licensing considerations, and compliance operational requirements during design and launch of new products, features, and services
Requirements:
- 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA
- Active FINRA Series 7 and Series 24 licenses (required)
- Familiarity with core rules and frameworks including FINRA Rule 3110, Rule 2210, SEC Rule 206(4)-7, and SEC Marketing Rule
- Comfortable navigating ambiguity and applying regulatory concepts in evolving product or operational contexts
- Excellent documentation and organizational skills; ability to write clearly and manage records that stand up to audit
- Exceptional executive presence; ability to present comfortably and with high professional credibility to senior leadership, Board of Directors, and regulators
- Clear communication and collaborative approach to problem-solving
- Comfort with continuous improvement and implementing AI tools to drive better compliance processes
- Ability to bring clarity to ambiguity and structure to compliance program buildout
- Balance of precision and pragmatism to help the business scale responsibly
About Mercury
Fintech — banking, treasury, and financial workflow platform for startups and technology companies.
