Senior Compliance Risk Manager - Securities Compliance

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

compliance

greenhouse

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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