Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor

• 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 securities entities (RIA and Broker-Dealer)
• 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

• 10+ 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)
• 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

additional licenses helpful but not required

base salary, equity, and benefits