Regulatory Affairs Senior Executive

Found in: Jooble US O C2 - 2 weeks ago

San Francisco CA, United States Mercury Full time

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
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. 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
~ 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. 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

The total rewards package at Mercury includes base salary, equity (stock options), and benefits.
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. Our target new hire base salary ranges for this role are the following:

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