# Senior Compliance Risk Manager - Securities Compliance

**Company**: Mercury
**Location**: San Francisco, CA, New York, NY, Portland, OR, or Remote within United States
**Work arrangement**: remote
**Experience**: senior
**Job type**: full-time
**Salary**: $146,700-$203,800 USD
**Category**: Finance
**Industry**: Finance

**Apply**: https://job-boards.greenhouse.io/mercury/jobs/6193310004?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_21641215-171

## Description

In every era, one principle has reasserted itself: where there is financial power, there must also be ethical infrastructure. 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.

The Senior Compliance Risk Manager, Securities 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.

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, including new product rollouts, annual Identity Theft Prevention Program testing, and Business Continuity Planning testing

- Act as a key point of contact during regulatory examinations, investigations, or audits

- Draft, update, and maintain the policies and procedures inventory on behalf of the BD and RIA entities

- Assist with required regulatory reporting and entity maintenance filings

- 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

Requirements:

- 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA

- Active FINRA Series 7 and 24 licenses

- Familiarity with core rules and frameworks including FINRA Rule 3110, Rule 2210, SEC Rule 206(4)-7, and SEC Marketing Rule

- Excellent documentation and organizational skills

- Exceptional executive presence and communication skills

## Skills

### Required
- FINRA Rule 3110
- SEC Rule 206(4)-7
- FINRA Series 7
- FINRA Series 24
- Compliance
- Risk Management
- Regulatory Reporting

---

Source: [Apply at job-boards.greenhouse.io](https://job-boards.greenhouse.io/mercury/jobs/6193310004?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)