- Establish a 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 teams
- 8+ years of experience working in compliance role, ideally in a financial technology company or in the payments industry
- FINRA Series 24 and/or Series 27 licenses
- Extensive experience with FINRA and SEC regulations from an RIA (Registered Investment Advisor) or BD (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 relationships
- US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $260,300 - $306,200
- US employees outside of the New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $234,300 - $275,600
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Head of Regulatory Compliance - Portland, United States - Mercury
Description
Mercury is building a complete finance stack for startups. We work hard to create the easiest and safest banking* experience possible to simplify entrepreneurs' and business owners' financial lives. We don't take our responsibility to the financial system lightly. At Mercury regulatory compliance is not just a necessity but a competitive advantage that can set us apart as the leader in the space.
We are seeking a highly motivated leader to lead compliance for our existing direct regulatory obligations and direct the development of our overall enterprise licensing strategy. As a senior member of the Compliance team, you will be responsible for establishing a vision for regulatory compliance at Mercury, developing team and cross-functional strategy along the way and implementing the right governance mechanisms to ensure a robust and resilient program. Your team will manage all of our existing and future regulatory relationships, helping to establish Mercury's reputation as an effective steward of the financial system.
*Mercury is a financial technology company, not a bank. Banking services provided by Choice Financial Group and Evolve Bank & Trust, Members FDIC
In this role, you will:
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:
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.
