Senior Compliance Risk Manager - Securities Compliance

<p>In Rome, senators were barred from shipping grain for profit. In India, Buddhist parables warned of merchants who abused their customers’ trust. In 17th-century Amsterdam, the earliest shareholders demanded transparency from the world’s first joint-stock company. In every era, one principle has reasserted itself: where there is financial power, there must also be ethical infrastructure. Where there is innovation, there must also be controls ensuring a strong, trustworthy foundation upon which the growth is built.</p> <p>At Mercury, we believe compliance is the infrastructure of trust—a way to engineer safety, transparency, and integrity directly into the architecture of financial innovation. This isn’t about bureaucracy or backstops. It’s about building control systems that scale with ambition, that evolve with product velocity, and that speak fluently in the language of risk and regulation.</p> <p>We’re hiring a <strong>Senior Compliance Risk Manager, Securities </strong>to help us continue this tradition: someone who can translate regulation into design, design into process, and process into enduring trust. The Senior Compliance Risk Manager will independently execute on our securities compliance and supervision program while driving high-quality oversight across regulated entities, marketing programs, and financial partnership projects. This role bridges tactical execution with strategic ownership, providing operational clarity and regulatory confidence in how Mercury builds and scales.</p> <p>This role is well-suited for someone who thrives on execution, is energized by precision, and enjoys cross-functional problem-solving. The individual will be a key contributor across Mercury’s Compliance teams and part of a highly-collaborative environment. Responsibilities will span a wide range of areas, from conducting compliance testing and inspections, owning annual completion and certification of compliance reports, maintaining policy and procedure inventory, supporting regulatory investigations and examinations, licensing, surveillance, marketing, and regulatory filings. The role involves especially close coordination with licensed employees and stakeholders across Product, Marketing, Support, Legal, and Operations.</p> <p><em>*Mercury is a fintech company, not an FDIC-insured bank. Banking services provided through Choice Financial Group and Column N.A., Members FDIC.</em></p> <h3><strong>As part of the journey, we would expect you to:</strong></h3> <ul> <li>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 and coordinate the annual certification process to ensure timely completion</li> <li>Support and document the annual compliance testing program for the RIA in accordance with SEC Rule 206(4)-7</li> <li>Own and execute testing across broader compliance areas, including new product rollouts, annual Identity Theft Prevention Program testing, and Business Continuity Planning testing, and others as needed to ensure operational resilience across both the BD and RIA entities</li> <li>Act as a key point of contact during regulatory examinations, investigations, or audits, which includes managing data requests, organizing and conducting quality assurance on document submissions, and support internal investigations to ensure timely, thorough, and accurate regulatory responses</li> <li>Draft, update, and maintain the policies and procedures inventory on behalf of the BD and RIA entities, including the Written Supervisory Procedures and Compliance Manual and related policies across the enterprise to reflect regulatory updates, business evolution, and testing remediations</li> <li>Assist with required regulatory reporting and entity maintenance filings including, but not limited to, Form BD, Form BR, Form ADV,&nbsp; Form CRS, and other state registration maintenance across both the BD and RIA entities</li> <li>Partner with Product, Engineering, Operations, Legal, and other relevant teams to evaluate regulatory risk, licensing considerations, and compliance operational requirements during the design and launch of new products, features, and services&nbsp;</li> </ul> <h3><strong>We believe a successful candidate will have the following qualities:</strong></h3> <ul> <li>Have 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA</li> <li>Hold active <strong>FINRA Series 7</strong> and <strong>24 licenses</strong></li> <li>Be familiar with core rules and frameworks including FINRA Rule 3110