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Head of Regulatory Compliance
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- At Mercury regulatory compliance is not just a necessity but a competitive advantage that can set us apart as the leader in the space.
- 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.
- Supervise employees working on investment-related product offerings and ensure compliance across regulated entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing)
- FINRA Series 24 and/or Series 27 licenses
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