Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor
About The Position
In 1933, amid the wreckage of financial collapse, a radical idea became law: that transparency could be a form of trust. That full disclosure, not blind confidence, should be the foundation of modern markets. That idea—still at the core of securities regulation—is as vital today as it was then. At Mercury, we’re building a modern financial stack with the same principle in mind. We believe clarity is a feature. Strong regulatory infrastructure doesn’t slow innovation—it makes it sustainable. We’re hiring a compliance leader to carry that ethos forward as we scale our licensed activity and deepen our engagement with regulators. In this role, you’ll lead our Securities Compliance team as the Chief Compliance Officer of the RIA and Broker-Dealer. You will be responsible for overseeing our compliance programs, leading strategy for future licensing needs, and designing the governance structures that ensure Mercury’s role in the financial system remains trusted, thoughtful, and resilient. From managing examinations to advising product and legal teams, you’ll help us turn regulatory obligations into durable infrastructure—and keep the signal clear in a noisy, fast-moving space. Mercury is a fintech company, not an FDIC-insured bank. Banking services provided through Choice Financial Group and Column N.A., Members FDIC.
Requirements
- 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
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 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
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Executive
Education Level
No Education Listed
Number of Employees
501-1,000 employees
