We are seeking a Compliance Analyst (Personal Account Dealing) to join our team. This role will assist in the maintenance of our compliance program and records with a primary focus on Personal Account Dealing (PAD) policy and controls.
\nResponsibilities: Assist in the maintenance of our compliance program and records with a primary focus on PAD policy and controls. Review of employee personal account dealing requests and queries in line with our policies and procedures. Lead and find appropriate resolutions to internal PAD related queries. Collect, process and analyse large data sets in a timely manner, including employee financial statements and internal metrics. Maintain a detailed and organised workflow to ensure data entries are complete, accurate and retained. Identify and escalate compliance related issues and work with internal stakeholders to appropriately remediate. Involvement in the maintenance of general compliance program including electronic communication, monitoring and surveillance as well as the Senior Managers and Certification Regime. Collaborate and work closely with colleagues globally. Participate in working groups and lead on project deliverables as needed.
\nQualifications/Skills: Bachelor's degree in finance, economics or a related field is preferred, with a strong academic record. Preferred 3+ years of financial industry experience (preferably in similar role in Compliance). Strong Microsoft Office (e.g., Word, Excel and PowerPoint) skills. An understanding of financial markets and compliance risks. Excellent communication skills and the ability to collaborate with team members across all levels globally. Detail oriented, organised, and able to work independently. Operates with a high degree of accuracy and efficiency. Ability to multi-task and manage competing deadlines. Ability to adapt to new situations quickly, learn and improve. Hardworking with a commitment to maintain the highest ethical standards.
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\nPrincipal Accountabilities and Responsibilities:
\nQualifications:
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\nWe are seeking a highly motivated compliance professional to join our Compliance Advisory team. In this role, you will work autonomously on regulatory based review and monitoring activities, owning assigned work from start to finish while operating within defined standards, processes, and escalation paths. You will help surface emerging risks, contribute to continuous improvement of monitoring practices, and support team-level goals through disciplined execution and reporting.
\nIn this role, you will:
\nIndependently execute compliance monitoring and targeted validation activities across defined channels (e.g., customer communications, sales interactions, marketing activity) using approved scripts, sampling approaches, and procedures
\nOwn assigned monitoring and validation work end-to-end, including evidence collection, documentation, follow-ups, and timely completion of deliverables
\nIdentify, document, and classify findings, trends, or repeat observations, and escalate issues appropriately using established escalation paths
\nSupport validation of remediation actions through follow-up testing and confirmation reviews
\nPrepare clear, accurate summaries of monitoring results to support team-level reporting and Advisory leadership visibility
\nExecute assigned customer-facing and marketing collateral compliance reviews in accordance with established standards and review criteria
\nContribute ideas for improving monitoring efficiency, documentation quality, or review processes within existing team frameworks
\nYou should have:
\n3+ years of relevant experience in compliance, risk, monitoring, QA, or testing preferably within a fintech, but a financial institution would also be acceptable
\nDemonstrated ability to independently execute moderately complex reviews or monitoring activities with minimal day-to-day guidance
\nExperience applying defined standards, scripts, or criteria to assess customer-facing materials, sales practices, or communications
\nStrong documentation discipline and attention to detail, with the ability to produce audit-ready evidence
\nAbility to synthesize review outcomes into clear, structured summaries that support team-level decision-making
\nComfort operating in some ambiguity, asking clarifying questions, and escalating issues when guidance or risk tolerance is unclear
\nBias for action and accountability, with the ability to manage timelines and deliverables for assigned work independently
\nCuriosity and willingness to deepen understanding of Mercury products, regulatory requirements, and compliance risk drivers
\nThe total rewards package at Mercury includes base salary, equity (stock options), and benefits.
\nOur 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.
\nOur target new hire base salary ranges for this role are the following:
\nUS employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $142,900 - $160,700
\nUS employees outside of the New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $128,600 - $144,600
\nCanadian employees (any location): $135,000 CAD - $151,900 CAD
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\nWith particular focus on crypto/stablecoin workstream, you will be responsible for:
\nThis role requires a compliance expert who is fluent in both crypto regulations and commercial reality. You will need to be comfortable straddling the worlds of technology and finance every day, moving quickly in the face of ambiguity to help scale our crypto/stablecoin business globally.
\nWe are looking for someone with 5+ years of experience in financial crimes compliance, with significant time spent specifically in the crypto and stablecoin space. You should have experience evaluating complex user requests for compliance risk and working with business stakeholders to implement creative solutions to enable users while meeting compliance requirements.
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