Senior Operations Leader
SymboticFull Time
Expert & Leadership (9+ years)
Candidates must possess active FINRA Series 7, 63, and 24 licenses. A minimum of 5 years of experience in broker-dealer or investment operations, with direct involvement in trade support, account servicing, or control functions, is required. Excellent written communication and documentation skills are essential, as is the ability to navigate regulatory nuances and operational edge cases. Candidates should have a proven track record of delivering high-quality work efficiently and consistently, be comfortable working independently with minimal oversight, and possess a strong understanding of FINRA and SEC operational requirements, including recordkeeping, supervision, and customer protection.
The Senior Technical Treasury Specialist will support end-to-end operations for Mercury's Treasury product, including account onboarding, money movement, and exception handling. This role involves executing and reviewing KYC processes in a broker-dealer setting, adhering to FINRA and SEC requirements. Core broker-dealer operational tasks such as trade reconciliation, approvals, ACATs, cashiering, and daily reporting will be executed. The specialist will act as a key contributor for regulatory and procedural accuracy, assist in maintaining Written Supervisory Procedures, and support licensed team members to ensure compliance. Collaboration with Engineering and Product teams to troubleshoot issues and suggest improvements is expected, along with providing high-quality written documentation for processes, controls, and reporting. Identifying operational inefficiencies, proposing solutions, and implementing improvements are also key responsibilities, as is assisting with audit readiness by maintaining accurate books and records and monitoring volume trends through reporting and analysis.
Banking services for startups and founders
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.