Head of Securities Compliance

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, overseeing our RIA and Broker-Dealer 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.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 entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing)* 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 teamsYou should have:* 8+ 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)* Familiarity with state level financial services licensing requirements - e.g. Money Transmission, Loan Originations, Loan Brokering, Loan Servicing* 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 relationshipsMercury 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.