Head of Securities Compliance

Overview

Join to apply for the Head of Securities Compliance role at Mercury .

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

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.

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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