Senior Compliance Risk Manager - Securities Compliance

Responsibilities:

• 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.
• 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.

Qualifications:

• 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.

Skills and Mindset:

• Be comfortable navigating ambiguity and applying regulatory concepts in evolving product or operational contexts.
• Have excellent documentation and organizational skills.
• Demonstrate exceptional executive presence and communicate clearly, enjoying collaborative work.

Compensation and Benefits:

• Base salary range varies by location, with higher range for NYC, LA, Seattle, and SF Bay Area.
• Total rewards include base salary, equity (stock options/RSUs), and benefits.
• Mercury values diversity and provides reasonable accommodations for applicants with disabilities.