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fintechCompliance Managerremote
About this role
Mercury is seeking a Senior Compliance Risk Manager to oversee securities compliance and supervision programs, ensuring operational clarity and regulatory confidence in financial innovation.
Description
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. We’re hiring a Senior Compliance Risk Manager, Securities to help us continue this tradition.
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 and annual Identity Theft Prevention Program 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.
Requirements
- 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA.
- Hold active FINRA Series 7 and 24 licenses.
- Familiar with core rules and frameworks including FINRA Rule 3110 and SEC Rule 206(4)-7.
- Comfortable navigating ambiguity and applying regulatory concepts.
- Excellent documentation and organizational skills.
- Exceptional executive presence and communication skills.
Conditions & Benefits
- Competitive base salary and equity (stock options/RSUs).
- Salary ranges for this role:
Job Details
Salary$146,700–$203,800
LocationRemote
AI Score★★★★★★★★☆☆ 8/10
PostedSep 16, 2026 (4d ago)
Tags & Skills
fintechCompliance Managerremote
Tech Stack
complianceregulatory oversightfinancial servicesrisk management