Mercury - Senior Compliance Risk Manager - Securities Compliance

• 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 continuous improvement across the Compliance function and be comfortable using and implementing AI tools to drive better and stronger processes • Bring clarity to ambiguity and structure to compliance program buildout • Balance precision and pragmatism to help the business scale responsibly