Compliance Risk Manager - Investments - Remote

Overview

The Compliance Risk Manager - Investments at Mercury is responsible for ensuring compliance with financial regulations and building trust through effective oversight and risk management in a collaborative environment.

In Short

• Own execution of compliance controls for regulated entities.
• Support compliance programs across SEC, FINRA, and state regulations.
• Monitor regulatory developments and update policies accordingly.
• Coordinate regulatory filings and licensing obligations.
• Review marketing content for compliance with regulations.
• Collaborate with Product, Marketing, and Legal teams.
• Assist with financial partner compliance diligence.
• Maintain documentation of compliance activities.
• Participate in internal investigations and audit readiness.
• Support continuous improvement of compliance programs.

Requirements

• 3–5 years of experience in compliance or operations roles.
• Active FINRA Series 7 and 24 licenses.
• Familiarity with FINRA and SEC regulations.
• Strong documentation and organizational skills.
• Excellent communication and collaboration abilities.
• Ability to navigate ambiguity in compliance contexts.
• Capable of balancing precision and pragmatism.

Benefits

• Competitive salary and equity options.
• Comprehensive benefits package.
• Commitment to diversity and inclusion.
• Support for reasonable accommodations during recruitment.