Regulatory Compliance Manager

Avenue•Miami, FL

9d•Onsite

About The Position

As Manager – Regulatory Compliance, you will lead the day-to-day execution, governance, and continuous improvement of broker-dealer and money services business (MSB) control obligations. You will oversee regulatory submissions, recordkeeping, and exception management, and engage with federal and state regulators. You will lead a team and work with partners across compliance, legal, risk, finance, technology, and internal audit. The role supports a strong risk and compliance culture through governance, controls execution, and process improvements. The position is 100% onsite. Avenue describes its workplace as collaborative and dynamic, with opportunities for employees to take ownership and grow while contributing to the company’s development.

Requirements

Active FINRA Series 24, 7, SIE, and 63 licenses, or ability to obtain them within the first six months.
At least 5 years of experience in broker-dealer compliance, supervision, operations, or regulatory oversight.
Strong knowledge of FINRA and SEC regulations.
Strong attention to detail, risk assessment, and clear communication skills.
Analytical skills and financial services knowledge to interpret regulations, analyze data, and assess risk within investment and advisory activities.
Ability to prepare clear reports, policies, and guidance, and collaborate with regulators, management, and internal teams.
Bachelor’s degree.
Integrity and ability to work independently in a highly regulated, deadline-driven environment.
Command of Portuguese and English.

Responsibilities

Advise on new business initiatives, assess risks, and educate the first line of defense on compliance requirements.
Keep abreast of industry best practices and recommend improvements to internal processes and procedures.
Monitor registered representatives’ trading activity, correspondence, and outside business activities.
Monitor approval processes for retail and institutional communications, 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 the Chief Compliance Officer (CCO).
Develop and update compliance policies and procedures to ensure adherence to applicable laws and regulations.
Assist with responses to external audits and inspections, identifying potential compliance risks and opportunities to improve control effectiveness.
Monitor customer complaints and regulatory inquiries to ensure timely responses.
Provide employees with guidance and training 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.
Lead a team and collaborate with compliance, legal, risk, finance, technology, and internal audit partners.
Oversee regulatory submissions, recordkeeping, and exception management to support accurate, timely, and well-documented outcomes.
Engage with federal and state regulators.

Benefits

Attractive meal and food allowances.
Omint health plan.
Amil dental plan.
MetLife life insurance.
Wellhub or TotalPass.
Daily breakfast at the office.
In-company massage.
Educational assistance for market certifications, subject to each department’s rules.
Birthday-month day off.
Free online therapy sessions through Psicologia Viva.
Childcare assistance of R$455 for each child up to age 5.
Extended maternity and paternity leave through Empresa Cidadã.
Semiannual bonus, subject to Avenue’s rules.
Unlimited free brokerage and 50 discounted foreign-exchange transactions for investment operations in the Avenue app.
USD 100 deposited with the first salary to open an Avenue account and begin investing.