Head of Securities Compliance

Mercury
Any Location, CA
Category Legal
Job Description
Mercury is a modern financial technology company seeking a Head of Securities Compliance to lead a team overseeing RIA and Broker-Dealer compliance programs. The role focuses on developing and maintaining regulatory infrastructure, assessing needs for future licensing, and advising product and legal teams. The company prioritizes clarity, regulatory infrastructure, and sustainable growth.

Requirements

  • 8+ years of experience in securities compliance
  • FINRA Series 24 license
  • Extensive experience with FINRA and SEC regulations on RIAs and BDs
  • Familiarity with state level financial services licensing requirements
  • Comfort driving strategy and planning autonomously
  • Exposure to executive-level stakeholders

Benefits

  • base salary
  • equity
  • benefits
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