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Senior Compliance Risk Manager - Securities Compliance
Mercury · San Francisco, CA, New York, NY, Portland, OR, or Remote within United States
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What Mercury asks for
From Mercury's Senior Compliance Risk Manager - Securities Compliance ad, checked 3 Nov 2026.
Compliance testing and reporting
Designing and running annual testing for broker-dealers and RIAs, including authoring FINRA Rule 3120 reports and ensuring SEC Rule 206(4)-7 compliance.
Policy and procedure management
Maintaining a central inventory of compliance policies, including Written Supervisory Procedures and manuals, updated for regulatory changes and business growth.
Exams, audits, and filings
Managing regulatory examinations and investigations, handling data requests, and completing entity filings such as Form BD, Form ADV, and Form CRS.
Cross-functional product advisory
Collaborating with product, engineering, and legal teams to assess regulatory risks and operational needs for new financial services and features.
The ad asks for 5 or more years of experience in compliance, audit, or operations at a broker-dealer or RIA. You must hold active FINRA Series 7 and 24 licenses. Based in San Francisco, New York, Portland, or remote in the US.
How the example answers the ad
Compliance testing and reporting
“Led annual FINRA Rule 3120 testing for a $50B AUM broker-dealer, reducing audit findings by 25% through enhanced automated surveillance.”
Leading annual testing for a broker dealer with $50B in assets under management shows experience with FINRA Rule 3120 compliance testing and reporting.
Policy and procedure management
“Maintained a centralized library of 50+ Written Supervisory Procedures, ensuring 100% alignment with evolving regulatory mandates.”
Managing a library of 50 Written Supervisory Procedures shows the central inventory maintenance described in policy and procedure management.
Exams, audits, and filings
“Assisted in the preparation of Form BD and Form ADV filings, ensuring zero material misstatements across 3 annual cycles.”
Preparing Form BD and Form ADV filings over 3 annual cycles addresses the entity filings part of exams, audits, and filings.
Cross-functional product advisory
“Partnered with product engineering teams to integrate compliance controls into 4 new trading features, ensuring marketing materials met Rule 2210 standards.”
Integrating controls into 4 new trading features alongside engineering teams shows the collaboration required for cross-functional product advisory.
The whole example as text
Amara Diallo · Senior Compliance Manager
Summary
Senior Compliance Manager with 7 years of experience in broker-dealer and investment advisory operations. Designs annual FINRA 3120 and SEC 206(4)-7 testing programs to identify and remediate regulatory risk. Maintains comprehensive Written Supervisory Procedures and manuals across multi-entity platforms. Coordinates complex regulatory examinations and manages mandatory filings including Form ADV and Form CRS.
Experience
Senior Compliance Manager · Charles Schwab
New York, NY · 2023 - Present
- Led annual FINRA Rule 3120 testing for a $50B AUM broker-dealer, reducing audit findings by 25% through enhanced automated surveillance.
- Managed SEC Rule 206(4)-7 annual reviews across 12 investment advisory entities to ensure total adherence to SEC operational guidelines.
- Partnered with product engineering teams to integrate compliance controls into 4 new trading features, ensuring marketing materials met Rule 2210 standards.
Compliance Officer · Fidelity Investments
Boston, MA · 2021 - 2023
- Maintained a centralized library of 50+ Written Supervisory Procedures, ensuring 100% alignment with evolving regulatory mandates.
- Conducted monthly gap analysis on trading logs, identifying 15 potential market manipulation events for legal review.
Compliance Analyst · Goldman Sachs
New York, NY · 2019 - 2021
- Assisted in the preparation of Form BD and Form ADV filings, ensuring zero material misstatements across 3 annual cycles.
- Monitored electronic communications for 150 employees to verify compliance with internal policies and FINRA standards.
Education
MS in Law and Financial Regulation · New York University
New York, NY · 2017 - 2019
- Graduated with 3.9 GPA
- Focus on securities law and federal oversight
BS in Finance · University of Pennsylvania
Philadelphia, PA · 2013 - 2017
- Graduated Magna Cum Laude, 3.8 GPA
Skills
Frequently asked questions
Is the example from an employee?
No. It is an AI-written example for this ad, made to show how a resume can answer it.
What specific regulations should I know?
The ad requires familiarity with FINRA Rules 3110, 3120, and 2210, as well as SEC Rule 206(4)-7 and the SEC Marketing Rule.
Is this role remote?
Yes. While the role is listed in San Francisco, New York, and Portland, it is also available as a remote position within the United States.
Where do I apply?
On the official Mercury posting, through the job link on this page.
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