About the role
The securities compliance team builds and maintains the ethical infrastructure for financial innovation. The Senior Compliance Risk Manager executes the securities compliance program, providing oversight for regulated entities and projects. This role involves testing, policy management, and supporting regulatory interactions.
Our summary of the posting; the original is on the Mercury careers page.
What the posting requires
- Required
- Compliance testing
- FINRA Rule 3120
- Certification process
- Regulatory examinations
- Data requests
- Internal investigations
- Policies and procedures
- Written Supervisory Procedures
- Regulatory reporting
- Preferred
Nothing listed as preferred.
These tags are our reading of the posting. They can miss something; the original posting is the reference.