Senior Compliance Risk Manager - Securities Compliance

📋 Description

• Design, execute, and document the annual compliance testing program for the broker-dealer in
• Support and document the annual compliance testing program for the RIA in accordance with SEC Rule
• Own and execute testing across broader compliance areas, including new product rollouts, annual
• Act as a key point of contact during regulatory examinations, investigations, or audits, which
• Draft, update, and maintain the policies and procedures inventory on behalf of the BD and RIA
• Assist with required regulatory reporting and entity maintenance filings including, but not limited

🎯 Requirements

• 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
• Be comfortable navigating ambiguity and applying regulatory concepts in evolving product or
• Have excellent documentation and organizational skills—you’ll need to write clearly and manage
• Demonstrate exceptional executive presence , presenting comfortably and with high professional

🎁 Benefits

• The total rewards package at Mercury includes base salary, equity (stock options/RSUs), and benefits