Senior Compliance Risk Manager – Securities Compliance

Mercury

. Design, execute, and document the annual broker-dealer compliance testing program in accordance with FINRA Rule 3110 .

Posted 9/15/2026full-timeRemote • California • United StatesSenior💰 $146,700 - $203,800 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance testing and regulatory reporting, with a strong focus on FINRA and SEC regulations. Proficient in drafting policies and procedures while effectively collaborating with cross-functional teams to manage compliance risks.

Highest-signal resume keywords

FINRA Rule 3110 Compliance TestingSEC Rule 206(4)-7 Compliance TestingActive FINRA Series 7 LicenseActive FINRA Series 24 LicenseRegulatory Reporting and Entity Maintenance

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance TestingRegulatory ReportingPolicy DraftingDocument ManagementAudit Support

Soft Skills

Excellent Documentation SkillsClear CommunicationCollaborative Working StylePresentation Skills

Tools & Technologies

AI Tools

Certifications & Qualifications

FINRA Series 7FINRA Series 24

Industry Keywords

Broker-DealerRIARegulatory ExaminationsBusiness Continuity PlanningIdentity Theft Prevention Program

About the role

Key responsibilities & impact

Design, execute, and document the annual broker-dealer compliance testing program in accordance with FINRA Rule 3110
Author the comprehensive FINRA Rule 3120 report and coordinate the annual certification process
Support and document the annual RIA compliance testing program in accordance with SEC Rule 206(4)-7
Execute testing for new product rollouts, Identity Theft Prevention Program, Business Continuity Planning, and other compliance areas
Serve as a key contact during regulatory examinations, investigations, and audits
Manage data requests and organize and quality-assure document submissions
Support internal investigations and regulatory responses
Draft, update, and maintain policies and procedures for broker-dealer and RIA entities
Assist with regulatory reporting and entity maintenance filings, including Forms BD, BR, ADV, and CRS
Partner with Product, Engineering, Operations, Legal, and other teams on regulatory risk, licensing, and compliance requirements for new products and services

Requirements

What you’ll need

5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA
Active FINRA Series 7 and Series 24 licenses
Familiarity with FINRA Rule 3110, FINRA Rule 2210, SEC Rule 206(4)-7, and the SEC Marketing Rule
Excellent documentation and organizational skills
Ability to present to senior leadership, the Board of Directors, and regulators
Clear communication and collaborative working style
Comfort using and implementing AI tools
Ability to navigate ambiguity and apply regulatory concepts in evolving product or operational contexts

Benefits

Comp & perks

Equity (stock options/RSUs)
Benefits package
Reasonable accommodations throughout the recruitment process for applicants with disabilities or special needs