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Head of Securities Compliance
Mercury
Any Location, CA
Category
Legal
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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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Employer
Mercury
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