Greenhouse ·
full-timeSenior Compliance Risk Manager - Securities Compliance
Mercury · San Francisco, CA, New York, NY, Portland, OR, or Remote within United States
Mercury is a fintech company that provides financial services and infrastructure for businesses. As a Senior Compliance Risk Manager focused on securities, this role involves managing the regulatory oversight and control systems necessary for the company's broker-dealer and registered investment advisor entities. The daily responsibilities include executing and documenting annual compliance testing programs, such as those required by FINRA Rule 3110 and SEC Rule 206(4)-7, and authoring comprehensive reports on findings and supervisory recommendations. You will maintain the inventory of policies and procedures, manage regulatory filings like Form BD and Form ADV, and serve as a primary point of contact during audits or investigations. This position requires a candidate who is comfortable bridging the gap between high-level regulatory strategy and tactical execution. It is well-suited for a detail-oriented professional who excels at cross-functional collaboration, as the role involves working closely with product, engineering, and legal teams to ensure that financial innovation remains aligned with current regulatory standards and internal risk management frameworks.
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. 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. We’re hiring a Senior Compliance Risk Manager, Securities 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. 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. *Mercury is a fintech company, not an FDIC-insured bank. Banking services provided through Choice Financial Group and Column N.A., Members FDIC. As part of the journey, we would expect you to: 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 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, and others as needed to ensure operational resilience across both the BD and RIA entities 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 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 Assist with required regulatory reporting and entity maintenance filings including, but not limited to, Form BD, Form BR, Form ADV, Form CRS, and other state registration maintenance across both the BD and RIA entities 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 We believe a successful candidate will have the following qualities: Have 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA Hold active FINRA Series 7 and 24 licenses Be familiar with core rules and frameworks including FINRA Rule 3110, Rule 2210, SEC Rule 206(4)-7, and SEC Marketing Rule Be comfortable navigating ambiguity and applying regulatory concepts in evolving product or operational contexts Have excellent documentation and organizational skills—you’ll need to write clearly and manage records that stand up to audit Demonstrate exceptional executive presence , presenting comfortably and with high professional credibility to senior leadership, the Board of Directors, and regulators Communicate clearly and enjoy working collaboratively to move things forward Embrace continuou
| Role | Senior Compliance Risk Manager - Securities Compliance |
|---|---|
| Company | Mercury |
| Location | San Francisco, CA, New York, NY, Portland, OR, or Remote within United States |
| Type | internship |
| Compensation | Not disclosed |
| Posted | 2026-09-30 |
| Deadline | Rolling |
Typical process for this type of role
A general guide — the exact steps for this specific listing may vary; check the original posting for details.
- 1ApplicationSubmit your resume through the apply link.
- 2ScreeningRecruiter reviews your background against the role.
- 3AssessmentA technical test, assignment, or coding round, depending on the role.
- 4Interview(s)One or more rounds with the hiring team.
- 5OfferOffer letter with compensation and start date.
Before you apply
0/4Senior Compliance Risk Manager - Securities Compliance at Mercury: frequently asked questions
- What is the salary for this role?
- Mercury has not stated compensation in the listing. Check the original posting or ask during the application process.
- Is the Senior Compliance Risk Manager - Securities Compliance position remote, hybrid or onsite?
- The listing marks this role as remote, with San Francisco, CA, New York, NY, Portland, OR, or Remote within United States as the location.
- What is the application deadline?
- Mercury has not listed a fixed deadline, so apply early in case the opening is filled.
- How do I apply for the Senior Compliance Risk Manager - Securities Compliance role?
- Use the Apply button on this page. It opens the original listing on job-boards.greenhouse.io, where you submit your application with the company.
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