Description
Mercury is hiring a Senior Compliance Risk Manager, Securities to independently execute securities compliance and supervision across broker-dealer and registered investment advisor entities. The role owns annual compliance testing, regulatory examinations and investigations, policy and procedure maintenance, regulatory filings, surveillance, licensing, and compliance testing for new products. Candidates need at least five years of compliance, audit, or operations experience, active FINRA Series 7 and 24 licenses, familiarity with FINRA and SEC rules, strong documentation and organizational skills, and the ability to communicate with senior leadership and regulators. The role offers a base salary of $163,000–$203,800 USD for eligible New York City, Los Angeles, Seattle, or San Francisco Bay Area employees, and $146,700–$183,400 USD for employees outside those areas, plus equity and benefits.
