Compliance Risk Manager

Summary

Join Mercury, a financial technology company, as a Compliance Risk Manager - Investments. This role focuses on ensuring compliance with regulations from bodies like FINRA and SEC. You will execute internal compliance controls, implement and oversee compliance programs, and monitor regulatory developments. Responsibilities include regulatory filings, reviewing marketing materials, partnering with various teams, and participating in investigations and audits. The ideal candidate will have 3–5 years of experience in a compliance or operations role at a broker-dealer, RIA, or regulated fintech, and hold active FINRA Series 7 and 24 licenses. This position offers a competitive salary and equity, along with benefits.

Requirements

• Have 3–5 years of experience in compliance or operations roles at a broker-dealer, RIA, or regulated fintech
• 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
• Be comfortable navigating ambiguity and applying regulatory concepts in evolving product or operational contexts
• Have excellent documentation and organizational skills—you’ll need to write clearly and manage records that stand up to audit
• Communicate clearly and enjoy working collaboratively to move things forward
• Bring clarity to ambiguity and structure to compliance program buildout
• Balance precision and pragmatism to help the business scale responsibly

Responsibilities

• Own execution of internal compliance controls for our regulated entities and contribute to ongoing risk assessment, surveillance, and monitoring processes
• Support the implementation and oversight of compliance programs across SEC, FINRA, and state lending regimes, ensuring day-to-day adherence to core regulatory obligations
• Monitor regulatory developments and help translate them into policy updates, operational guidance, or procedural enhancements
• Coordinate regulatory filings and licensing obligations, including onboarding/offboarding registered reps, responding to standard inquiries, and maintaining submission calendars
• Review marketing and communication content for compliance with FINRA Rule 2210 and the SEC Marketing Rule
• Partner with Product Marketing, Brand, and Legal to operationalize disclosure and communication standards
• Assist with investments financial partner compliance diligence, ongoing relationship monitoring, and oversight coordination
• Maintain accurate records of compliance activity, stakeholder approvals, and oversight actions in accordance with regulatory documentation standards
• Participate in internal investigations, audit readiness efforts, and responses to regulatory exams, inquiries, or escalations
• Conduct periodic reviews of employee disclosures, outside business activities, personal trading, and other supervised person certifications
• Manage documentation, workflows, and communications related to regulatory attestations, information barriers, and supervisory controls
• Support the continuous improvement of our compliance program by identifying process gaps, proposing automation opportunities, and helping implement sustainable fixes

Benefits

• Base salary
• Equity (stock options)