# Senior Compliance Risk Manager - Securities Compliance at Mercury

- Company: Mercury
- What the company does: Everything you do with money. All in one place. Apply in 10 minutes for business banking that transforms how you operate. Backed by Sequoia, a16z and 500 Global.
- Company website: https://mercury.com/
- Type: Startups
- Level: Senior
- Location: San Francisco, CA, New York, NY, Portland, OR, or Remote within United States
- Work setup: Remote
- Posted: 2026-09-15
- Apply by: 2026-10-30
- Apply: https://job-boards.greenhouse.io/mercury/jobs/6193310004
- Page: https://www.1752.vc/careers/jobs/mercury-senior-compliance-risk-manager-securities-compliance/

## About the role

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.

## What they're looking for

- Support and document the annual compliance testing program for the RIA in accordance with SEC Rule 206(4)-7
- Assist with required regulatory reporting and entity maintenance filings including, but not limited to, Form BD, Form BR, Form ADV, Form CRS, and other state registration maintenance across both the BD and RIA entities
- Have 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA
- Hold active FINRA Series 7 and 24 licenses
- Be familiar with core rules and frameworks including FINRA Rule 3110, Rule 2210, SEC Rule 206(4)-7, and SEC Marketing Rule
- Be comfortable navigating ambiguity and applying regulatory concepts in evolving product or operational contexts

Tags: Compliance