Senior Compliance Risk Manager - Prudential
$1,760,400–$2,200,800 year
On-siteSan Francisco, California, United States
Job Summary
Implement and operate Mercury's first prudential regulatory compliance program, focusing initially on Regulations W and O, by defining policies, procedures, governance frameworks, and transactional controls. Advise senior management on the permissibility of proposed transactions while partnering with Legal, Finance, and Credit to ensure safe and sound operations. Educate staff on prudential regulatory obligations through training and maintain comprehensive documentation of all compliance activities. This role combines strategic program design with operational execution to support Mercury's transition toward a chartered bank status, leveraging technology and AI to enhance capabilities.
Required Qualifications
- 5-7+ years of experience in building and/or operating prudential compliance programs including Regulations W and O
- strong understanding of prudential regulations and regulatory expectations
- ability to represent program outputs and decisions to senior executives, internal auditors, prudential regulators, and other third parties / stakeholders
- high quality bar and a strong sense of ownership
- ability to see things through to completion
- collaborative, problem-solving mindset
- strong stakeholder management skills
- ability to influence without direct authority
- excitement about using technology, including artificial intelligence, to enhance your capabilities and advance the profession
Desired Qualifications
- prior experience working in quantitative fields including finance, credit, and/or strategic operations
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