Mercury
Overview Join to apply for the
Head of Securities Compliance
role at
Mercury .
Read on to fully understand what this job requires in terms of skills and experience If you are a good match, make an application. In this role, you’ll lead our Securities Compliance team, overseeing our RIA and Broker-Dealer compliance programs, shaping strategy for future licensing needs, and designing governance structures to ensure Mercury’s role in the financial system remains trusted, thoughtful, and resilient. You’ll work with product and legal teams to turn regulatory obligations into durable infrastructure and maintain clear signaling in a fast-moving space. Responsibilities
Mature our foundational program to manage all of Mercury’s direct regulatory and license obligations, and continually assess our compliance posture in advance of new licensing needs Supervise employees working on investment-related product offerings and ensure compliance across regulated entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing) Manage examinations/audits (internal and external) or other regulatory inquiries related to licensed activity, including serving as primary point of contact with regulatory bodies Work across Compliance and key cross functional teams to ensure direct regulatory requirements are sufficiently addressed through compliance programs, product solutions or new operational builds Support governance efforts on behalf of Mercury’s Compliance organization including monitoring ongoing compliance and establishing mechanisms for reporting on entity compliance health Support the Compliance function in defining and achieving departmental initiatives, maintaining product support playbooks and best practices, developing and documenting scalable solutions, and liaising with external parties Contribute to building a strong culture of compliance across Mercury’s teams Qualifications
8+ years of experience working in securities compliance role, ideally at a financial technology company, brokerage, or asset manager FINRA Series 24 license; additional licenses helpful but not required Extensive experience with FINRA and SEC regulations on RIAs (Registered Investment Advisor) and BDs (Broker-Dealer) Familiarity with state level financial services licensing requirements - e.g. Money Transmission, Loan Originations, Loan Brokering, Loan Servicing Experience building regulatory functions from the ground up Comfort in driving strategy and planning for the function autonomously Exposure to executive-level stakeholders, including experience reporting to leadership on the status of compliance programs and regulatory relationships Compensation & Benefits The total rewards package at Mercury includes base salary, equity, and benefits. Our salary and equity ranges are highly competitive within the SaaS and fintech industry and are updated regularly using reliable compensation survey data for our industry. New hire offers are made based on a candidate’s experience, expertise, geographic location, and internal pay equity relative to peers. Target new hire base salary ranges vary by location: US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $219,800 - $274,700 US employees outside these areas: $197,800 - $247,200 Mercury values diversity & belonging and is proud to be an Equal Employment Opportunity employer. All individuals seeking employment at Mercury are considered without regard to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, sexual orientation, or any other legally protected characteristic. We provide reasonable accommodations throughout the recruitment process. If you need assistance, please let your recruiter know when you are contacted about a role.
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Head of Securities Compliance
role at
Mercury .
Read on to fully understand what this job requires in terms of skills and experience If you are a good match, make an application. In this role, you’ll lead our Securities Compliance team, overseeing our RIA and Broker-Dealer compliance programs, shaping strategy for future licensing needs, and designing governance structures to ensure Mercury’s role in the financial system remains trusted, thoughtful, and resilient. You’ll work with product and legal teams to turn regulatory obligations into durable infrastructure and maintain clear signaling in a fast-moving space. Responsibilities
Mature our foundational program to manage all of Mercury’s direct regulatory and license obligations, and continually assess our compliance posture in advance of new licensing needs Supervise employees working on investment-related product offerings and ensure compliance across regulated entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing) Manage examinations/audits (internal and external) or other regulatory inquiries related to licensed activity, including serving as primary point of contact with regulatory bodies Work across Compliance and key cross functional teams to ensure direct regulatory requirements are sufficiently addressed through compliance programs, product solutions or new operational builds Support governance efforts on behalf of Mercury’s Compliance organization including monitoring ongoing compliance and establishing mechanisms for reporting on entity compliance health Support the Compliance function in defining and achieving departmental initiatives, maintaining product support playbooks and best practices, developing and documenting scalable solutions, and liaising with external parties Contribute to building a strong culture of compliance across Mercury’s teams Qualifications
8+ years of experience working in securities compliance role, ideally at a financial technology company, brokerage, or asset manager FINRA Series 24 license; additional licenses helpful but not required Extensive experience with FINRA and SEC regulations on RIAs (Registered Investment Advisor) and BDs (Broker-Dealer) Familiarity with state level financial services licensing requirements - e.g. Money Transmission, Loan Originations, Loan Brokering, Loan Servicing Experience building regulatory functions from the ground up Comfort in driving strategy and planning for the function autonomously Exposure to executive-level stakeholders, including experience reporting to leadership on the status of compliance programs and regulatory relationships Compensation & Benefits The total rewards package at Mercury includes base salary, equity, and benefits. Our salary and equity ranges are highly competitive within the SaaS and fintech industry and are updated regularly using reliable compensation survey data for our industry. New hire offers are made based on a candidate’s experience, expertise, geographic location, and internal pay equity relative to peers. Target new hire base salary ranges vary by location: US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $219,800 - $274,700 US employees outside these areas: $197,800 - $247,200 Mercury values diversity & belonging and is proud to be an Equal Employment Opportunity employer. All individuals seeking employment at Mercury are considered without regard to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, sexual orientation, or any other legally protected characteristic. We provide reasonable accommodations throughout the recruitment process. If you need assistance, please let your recruiter know when you are contacted about a role.
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