Senior Compliance Risk Manager - Securities Compliance

In Rome, senators were barred from shipping grain for profit. In India, Buddhist parables warned of merchants who abused their customers’ trust. In 17th-century Amsterdam, the earliest shareholders demanded transparency from the world’s first joint-stock company. In every era, one principle has reasserted itself: where there is financial power, there must also be ethical infrastructure. Where there is innovation, there must also be controls ensuring a strong, trustworthy foundation upon which the growth is built. At Mercury, we believe compliance is the infrastructure of trust—a way to engineer safety, transparency, and integrity directly into the architecture of financial innovation. This isn’t about bureaucracy or backstops. It’s about building control systems that scale with ambition, that evolve with product velocity, and that speak fluently in the language of risk and regulation. We’re hiring a Senior Compliance Risk Manager, Securities to help us continue this tradition: someone who can translate regulation into design, design into process, and process into enduring trust. The Senior Compliance Risk Manager will independently execute on our securities compliance and supervision program while driving high-quality oversight across regulated entities, marketing programs, and financial partnership projects.

This role bridges tactical execution with strategic ownership, providing operational clarity and regulatory confidence in how Mercury builds and scales. This role is well-suited for someone who thrives on execution, is energized by precision, and enjoys cross-functional problem-solving. The individual will be a key contributor across Mercury’s Compliance teams and part of a highly-collaborative environment. Responsibilities will span a wide range of areas, from conducting compliance testing and inspections, owning annual completion and certification of compliance reports, maintaining policy and procedure inventory, supporting regulatory investigations and examinations, licensing, surveillance, marketing, and regulatory filings. The role involves especially close coordination with licensed employees and stakeholders across Product, Marketing, Support, Legal, and Operations. *Mercury is a fintech company, not an FDIC-insured bank. Banking services provided through Choice Financial Group and Column N. A. , Members FDIC.