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Mercury Technologies

7 days ago

Senior Compliance Risk Manager - Securities Compliance

Remote · San Francisco, CA, New York, NY, Portland, OR, or Remote within United States San Francisco, CA, New York, NY, Portland, OR, or Remote within United States

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AI TL;DR

You will manage compliance risk for securities at Mercury, ensuring regulatory adherence and operational clarity. This role involves collaboration across teams to support compliance testing and regulatory reporting.

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Job description

You will manage compliance risk for securities at Mercury, ensuring regulatory adherence and operational clarity. This role involves collaboration across teams to support compliance testing and regulatory reporting.

Details

  • Remote within the United States
  • $146,700—$203,800 USD base salary
  • 5+ years of experience in compliance, audit, or operations roles
  • Active FINRA Series 7 and 24 licenses

The work

  • Design and execute the annual compliance testing program for the broker-dealer
  • Act as a key point of contact during regulatory examinations and audits
  • Draft and maintain policies and procedures for compliance
  • Partner with teams to evaluate regulatory risk during new product launches