Senior Technical Treasury Specialist

Summary

Join Mercury's Financial Partnership Operations team as a Senior Treasury Operations Specialist and contribute to the evolution of the operational engine powering our SEC-registered investment advisor and FINRA-member Broker Dealer. This high-impact role involves supporting end-to-end treasury product operations, executing KYC processes, performing core broker-dealer operational tasks, and ensuring regulatory compliance. You will collaborate with cross-functional teams, identify operational inefficiencies, and implement improvements. The ideal candidate possesses deep brokerage operations knowledge, strong ownership, and excellent communication skills. This role offers a competitive salary and equity, along with benefits.

Requirements

• Hold active FINRA Series 7, 63 and 24 licenses
• Have 5+ years of experience in broker-dealer or investment operations with firsthand involvement in trade support, account servicing, or control functions
• Demonstrate excellent written communication and documentation skills
• Be comfortable navigating regulatory nuance and operational edge cases
• Have a track record of delivering high-quality work quickly and consistently
• Work independently with minimal oversight, while collaborating fluidly with cross-functional teams
• Possess a strong understanding of the operational requirements under FINRA and SEC rules, including recordkeeping, supervision, and customer protection
• Enjoy solving problems with a balance of efficiency and precision

Responsibilities

• Support end-to-end operations for Mercury’s Treasury product including account onboarding, money movement, and exception handling
• Experience executing and reviewing KYC processes in a broker-dealer setting, including identity verification, beneficial ownership analysis, and risk-based customer profiling in accordance with FINRA and SEC requirements
• Execute core broker-dealer operational tasks such as trade reconciliation, approvals, ACATs, cashiering, and daily reporting
• Serve as a go-to contributor for regulatory and procedural accuracy in daily operations and special projects
• Contribute to the maintenance of our Written Supervisory Procedures by identifying procedural gaps or changes in workflows
• Support licensed team members and help ensure compliance with FINRA and SEC requirements across operational processes
• Work closely with Engineering and Product teams to troubleshoot partner issues and suggest process or tooling improvements
• Provide high-quality written documentation for process flows, controls, and reporting requirements
• Identify operational inefficiencies, propose solutions, and take initiative to implement improvements
• Assist with readiness for exams or audits by ensuring books and records are accurately maintained and easily retrievable
• Help monitor volume trends and surface insights through regular reporting and analysis

Benefits

• Base salary
• Equity (stock options)