Head of Regulatory Compliance
3 weeks ago
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 FDICIn this role, you will: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 needsSupervise 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 buildsSupport governance efforts on behalf of Mercury’s Compliance organization including monitoring ongoing compliance and establishing mechanisms for reporting on entity compliance healthSupport 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 teamsYou should have:8+ years of experience working in compliance role, ideally in a financial technology company or in the payments industryFINRA Series 24 and/or Series 27 licensesExtensive 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 ServicingExperience building regulatory functions from the ground upComfort in driving strategy and planning for the function autonomouslyExposure to executive-level stakeholders, including experience reporting to leadership on the status of compliance programs and regulatory relationshipsThe 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. 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:US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $260,300 - $306,200US employees outside of the New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $234,300 - $275,600#LI-DNIWe 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.
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Head of Legal, Product
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Head of Compliance
1 week ago
San Francisco, California, United States Cardless Full timeAt Cardless, we're building a credit card and loyalty platform that consumer businesses use to engage their customers. We've launched 9 credit cards, including for the largest mall operator in the U.S. and the largest airline in South America. We help businesses bring imaginative card programs to life, and have pioneered technology to embed credit card...
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Head of Compliance
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San Francisco, United States Cardless Full timeAt Cardless, we’re building a credit card and loyalty platform that consumer businesses use to engage their customers. We’ve launched 9 credit cards, including for the largest mall operator in the U.S. and the largest airline in South America. We help businesses bring imaginative card programs to life, and have pioneered technology to embed credit card...
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Head of Product Compliance, Americas
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Global Head of Compliance
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Head of Regulatory Legal
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Regulatory Compliance Specialist
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Regulatory Compliance Specialist
2 weeks ago
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Regulatory Compliance Specialist
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Regulatory Compliance Specialist
3 weeks ago
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Head of Regulatory Legal
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Regulatory Compliance Analyst
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Head of Regulatory Legal
3 days ago
San Francisco, United States Block Full timeJob DescriptionJob DescriptionCompany DescriptionBlock is one company built from many blocks, all united by the same purpose of economic empowerment. The blocks that form our foundational teams — People, Finance, Counsel, Hardware, Information Security, Platform Infrastructure Engineering, and more — provide support and guidance at the corporate level....
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Head of Regulatory Affairs and Quality Assurance
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Menlo Park, CA, United States Russell Solutions Group Full timeHead of Regulatory Affairs and Quality About This Role: We are seeking an experienced Head of RA/QA to support U.S. regulatory activities as well as be an individual contributor on regulatory projects. The Head of RA/QA will participate in he planning, development and execution of regulatory submissions. The incumbent will drive all Regulatory Affairs...
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Head of Credit Risk Compliance
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Regulatory Compliance Specialist
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San Francisco, CA, United States Wish Full timeJob Description Wish is looking for a dynamic attorney to join our team as Counsel, Litigation & Privacy. This role will report to the Head of US Legal and will be responsible for handling both global litigation and data privacy matters. Litigation: the attorney will handle various stages of the litigation process, including initial case assessment,...
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Compliance Officer
4 weeks ago
San Francisco, CA, United States Cardless, Inc Full timeAt Cardless, we’re building a credit card and loyalty platform that consumer businesses use to engage their customers. We’ve launched 9 credit cards, including for the largest mall operator in the U.S. and the largest airline in South America . We help businesses bring imaginative card programs to life, and have pioneered technology to embed credit...
