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Open nowPosted 12 days ago

Regulatory Compliance Manager

Avenue13 open roles

Where
Miami, Florida, US
Work mode
On site
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Your applicationOpen nowRegulatory Compliance ManagerAvenue · Miami, Florida, US

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on Avenue's own form.

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The clock on this job

Early applications get read.

12.3% of postings close within 7 days. Measured by our own scanner across the market. Avenue postings stay open a median of 1 days.

Share of postings closed within
  1. 2.1%1 day
  2. 4.5%3 days
  3. 12.3%7 days
  4. 19.3%14 days
  5. 35.6%30 days
  6. 58.1%60 days
This job: posted 12 days ago

Avenue median: 1 days open

The posting

Na Avenue, somos movidos por um propósito claro: expandir o potencial do investidor brasileiro, fazendo sua vida render mais — em dólar.

Isso significa oferecer acesso a oportunidades globais de investimento, com produtos, serviços e experiências que ajudam nossos clientes a construir um futuro financeiro mais sólido, diversificado e conectado ao mundo.

Somos uma empresa em constante evolução, que combina visão estratégica com execução ágil — e isso só é possível porque temos pessoas comprometidas com o impacto que geram.

Aqui, você vai encontrar um ambiente colaborativo, dinâmico e com espaço para protagonismo. Valorizamos quem constrói junto, quem se envolve com os desafios e quem busca crescer enquanto contribui para o crescimento da empresa.

Sobre a vaga

Help shape the integrity and reliability of broker-dealer and money transmitter compliance in a high-impact leadership role. You will lead critical governance and controls execution that supports a strong risk and compliance culture. You will partner closely with cross-functional stakeholders and drive process improvements that strengthen quality and resilience. If you thrive in a dynamic environment and enjoy leading teams through change, this role offers meaningful scope and visibility.

As a Manager – Regulatory Compliance, you will lead the day-to-day execution, governance, and continuous improvement of broker-dealer and MSB control obligations. You will oversee regulatory submissions, recordkeeping, and exception management to support accurate, timely, and well-documented outcomes. You will engage with federal and state regulators. You will lead a team and collaborate with partners across compliance, legal, risk, finance, technology, and internal audit.

No seu dia a dia, você terá como responsabilidade

  • Advise on new business initiatives, assessing risks and educating first line of defense on construction.
  • Keep abreast of industry best practices and recommend improvements to internal processes and procedures.
  • Monitor and evaluate registered representatives' trading activity, correspondence, and outside business activities.
  • Monitor retail and institutional communications approval process, as well as regulatory submissions. new accounts, and specific financial transactions.
  • Maintain adherence to FINRA and SEC rules, support internal testing and surveillance, and assist with regulatory examinations.
  • Submit required reporting to state regulators for MSB licenses.
  • Help design, update, and implement written supervisory procedures (WSPs) and compliance controls.
  • Identify compliance breaches or suspicious activities and escalate issues to Chief Compliance Officer (CCO).
  • Develop and update compliance policies and procedures to ensure adherence to all applicable laws and regulations.
  • Assist with responses to external audits and inspections to identify potential compliance risks and improve the effectiveness of controls.
  • Monitor customer complaints and regulatory inquiries to ensure response in a timely manner.
  • Provide guidance and training to employees on compliance-related issues.
  • Collaborate with other departments to develop and implement strategies to mitigate compliance risks.
  • Maintain accurate records of compliance activities, including audits, regulatory filings, and training records.

Requisitos Obrigatórios Para se encaixar na posição, buscamos alguém com experiência e conhecimento nos seguintes pontos:

  • Active FINRA Series 24, 7, SIE, and 63 or ability to obtain in the first 6 months.
  • 5+ years of experience in broker-dealer compliance, supervision, operations or regulatory oversight.
  • Strong knowledge of FINRA/SEC regulations, attention to detail, risk assessment, and clear communication.
  • Solid Analytical Skills and Financial services knowledge to interpret regulations, analyze data, and assess risk within investment and advisory activities.
  • Effective Communication skills to prepare clear reports, policies, and guidance, and to collaborate with regulators, management, and internal teams.
  • Bachelor’s degree.
  • Demonstrated attention to detail, integrity, and ability to work independently in a highly regulated and deadline-driven environment.
  • Portuguese and English command.

Informações adicionais Essa é uma vaga híbrida, com presença de 3x a 4x por semana no nosso escritório em Miami, EUA.

Benefícios

• Bônus: pago semestralmente de acordo com as regras formuladas pela Avenue. • Pagamentos (Pay checks): enviados quinzenalmente. • Férias Remuneradas/PTO: 120 horas (15 dias úteis) no total distribuídas ao longo do ano, a serem acordadas e autorizadas antecipadamente com o gestor direto. As horas são válidas até 30 de julho do ano seguinte, não sendo cumulativas para o próximo período. O ano (ou a data de admissão) inicia com 24 horas, adicionando-se 4 horas a cada folha de pagamento (payroll). • Feriados Remunerados: segue o calendário de feriados da NASDAQ. • Plano de Saúde (Health care): United Health Care – cobertura Médica, Odontológica e Oftalmológica para o colaborador, cônjuge e filhos de até 24 anos. • Seguros de Vida e Invalidez de Curto e Longo Prazo do Grupo Insperity (Insperity Group Short and Long-Term Disability Insurance Life Insurance) • Seguro de Vida em Grupo Voluntário e Morte Acidental & Desmembramento (AD&D) da Insperity (pago pelo colaborador) • 401k: [Disponível após a conclusão de 3 meses de trabalho]. • Estacionamento (Parking)

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