Compliance Risk Manager - Investments

New York, New York, United States

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Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, FintechIndustries

Requirements

Candidates should have 3-5 years of experience in compliance or operations roles within the investment industry. A strong understanding of SEC and FINRA regulations, particularly concerning communications and marketing, is essential. Experience with regulatory filings, licensing, surveillance, and risk assessment is required. The ability to translate complex regulations into actionable policies and procedures is also necessary.

Responsibilities

The Compliance Risk Manager will execute the investments compliance and supervision program, ensuring adherence to SEC, FINRA, and state lending regulations. Responsibilities include overseeing regulated entities, marketing programs, and financial partnerships, reviewing marketing content, coordinating regulatory filings and licensing, and participating in internal investigations and audit readiness. The role involves monitoring regulatory developments, maintaining compliance records, and conducting periodic reviews of employee activities.

Skills

Compliance

Risk Management

FINRA

SEC

Regulatory Filings

Surveillance

Licensing

Marketing Regulations

Financial Partnerships

Cross-functional Problem-Solving

Product Development

Legal

Operations

Mercury

Banking services for startups and founders

About Mercury

Mercury provides banking services specifically designed for startups, regardless of their size or stage of development. Their offerings include free checking and savings accounts, debit and credit cards, and options for domestic and international wire transfers, as well as treasury and venture debt services. The platform is user-friendly, allowing founders to manage their finances with ease. What sets Mercury apart from traditional banks is its focus on the startup community, offering programs that connect founders with valuable resources and advice to help them succeed. The goal of Mercury is to empower startups by providing them with the financial tools and support they need to grow and thrive.

San Francisco, CaliforniaHeadquarters

2017Year Founded

$146.8MTotal Funding

DEBTCompany Stage

Fintech, Financial ServicesIndustries

1,001-5,000Employees