Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor job opportunity at Mercury Bank & Trust, N.A..

Home Jobs In United States Of America Tag: Compliance Advisory Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor position at Mercury Bank & Trust, N.A.


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Mercury Bank & Trust, N.A. Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor
Experience: 10-years
Pattern: Remote
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Compliance Advisory

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loacation San Francisco, CA, New York, NY, Portland, OR, or Remote within, United States Of America
loacation San Francisco,..........United States Of America

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. In this role, you will: 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 You should have: 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 The total rewards package at Mercury includes base salary, equity (stock options/RSUs), and benefits. Our salary and equity ranges are highly competitive within the SaaS and fintech industry and are updated regularly using the most reliable compensation survey data for our industry. New hire offers are made based on a candidate’s experience, expertise, geographic location, and internal pay equity relative to peers. Our target new hire base salary ranges for this role are the following: US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $269,700 - $303,400 US employees outside of New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $242,700 - $273,100 Mercury values diversity & belonging and is proud to be an Equal Employment Opportunity employer. All individuals seeking employment at Mercury are considered without regard to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, sexual orientation, or any other legally protected characteristic. We are committed to providing reasonable accommodations throughout the recruitment process for applicants with disabilities or special needs. If you need assistance, or an accommodation, please let your recruiter know once you are contacted about a role. We use Covey as part of our hiring and / or promotional process for jobs in NYC and certain features may qualify it as an AEDT. As part of the evaluation process we provide Covey with job requirements and candidate submitted applications. We began using Covey Scout for Inbound on January 22, 2024. Please see the independent bias audit report covering our use of Covey here. #LI-SN1  

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