Mercury
Senior Compliance Risk Manager - Securities Compliance
$147K–$204K
San Francisco, CA, New York, NY, Portland, OR, or Remote within United States +1 · Remote · Manager · Full-time · Posted Sep 15, 2026
- Location
- San Francisco, CA, New York, NY, Portland, OR, or Remote within United States
Any Office or Remote - Experience
- 5+ years in compliance, audit, or operations roles at a broker-dealer or RIA.
About the job
Executes and improves Mercury’s securities compliance and supervision programs for its broker-dealer and registered investment adviser, including testing, regulatory filings, and oversight of products and operations.
What you'll do
- Design, conduct, and document annual compliance testing and reporting for the broker-dealer and RIA, including FINRA Rule 3110 and SEC Rule 206(4)-7 programs.
- Coordinate responses to regulatory examinations, investigations, and audits; maintain compliance policies and procedures and support required filings.
- Partner with cross-functional teams to assess regulatory risk, licensing, and compliance needs for new products, features, and services.
What they ask for
- 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA.
- Active FINRA Series 7 and 24 licenses.
- Familiarity with FINRA Rules 3110 and 2210, SEC Rule 206(4)-7, and the SEC Marketing Rule.
- Strong documentation and organizational skills; ability to communicate clearly with senior leadership, the Board, and regulators.
Pay
$163,000 — $203,800 USD (base salary); $146,700 — $183,400 USD (base salary)
Tools
FINRA Rule 3110, FINRA Rule 3120, SEC Rule 206(4)-7, FINRA Rule 2210, SEC Marketing Rule, Form BD, Form BR, Form ADV
AI focus
Use and implement AI tools to improve compliance processes.
Model-written summary · the original posting is authoritative