Head of Regulatory Compliance - San Francisco, CA, New York, NY, Portland, OR, or Remote within United States

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

In 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 needs
• Supervise 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 builds
• Support governance …