Compliance Manager

Velox Clearing; Miami (FL); Hybrid; USD 130,000 - 190,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Life insurance

Long-term disability

401(k) options

Job summary

Velox Clearing LLC in Miami, FL seeks an experienced Regulatory Compliance Manager to own internal compliance, trade surveillance, and regulatory affairs programs. You will act as the primary liaison with regulators and help shape policy for a modern clearing firm.

The ideal candidate has 5–7 years in broker-dealer compliance, deep FINRA/SEC knowledge, FINRA Series 7 required, Series 24 recommended, and strong data analysis and communication skills.

Qualifications

• 5 to 7 years of regulatory and compliance experience in financial services.
• Experience with clearing firm operations and broker-dealers.
• Strong knowledge of FINRA and SEC rules and regulations.
• Proficient in data analysis for surveillance and monitoring.
• Excellent written and verbal communication.
• Clean FINRA U4 and background check.

Responsibilities

• Serve as primary liaison with SEC, FINRA, OCC, DTCC, and Exchanges.
• Gather data, draft responses, and manage regulatory inquiries and audits.
• Develop and review internal compliance policies and WSPs.
• Conduct routine reviews and testing to ensure firm-wide compliance.
• Perform AML/KYC due diligence on correspondent broker-dealers.
• Lead and enhance the trade surveillance program.
• Oversee onboarding supervision of registered representatives and U4/U5 reviews.
• Assess systems and implement improvements for regulatory efficiency.
• Ensure timely and accurate regulatory filings, including CAT reporting.

Skills

Regulatory compliance

Trade surveillance

Regulatory reporting

FINRA rules

SEC rules

MS Office

Job description

About the Role: We are Velox Clearing, a clearing broker/dealer located in Miami, Florida, in search of an experienced Regulatory Compliance Manager. The ideal candidate has a strong background in securities regulation and 5-7 years of recent experience within broker-dealer and securities clearing financial services.

This is a critical leadership role requiring a candidate who can take full ownership of our internal compliance, trade surveillance, and regulatory affairs programs. You will serve as a primary liaison with regulators, shape internal policies, and ensure our firm meets the complex compliance needs of a modern clearing environment. Preference will be given to applicants with direct clearing firm experience who meet all required licensing and certifications.

DUTIES AND RESPONSIBILITIES

Regulatory Affairs & Internal Compliance:

• Regulatory Liaison: Act as a primary point of contact for regulatory bodies, leading communications and interactions with the SEC, FINRA, OCC, DTCC, and various Exchanges.
• Regulatory Inquiries & Exams: Take ownership of gathering data, drafting responses, and managing regulatory, internal, and external inquiries, audits, and routine examinations.
• Policy Development: Lead the development, drafting, and continuous review of internal compliance policies and Written Supervisory Procedures (WSPs) to ensure strict alignment with evolving SEC and FINRA regulations.
• Internal Adherence & Testing: Ensure firm-wide compliance by conducting routine reviews, testing policies, and identifying areas for regulatory improvement or remediation.
• Client Due Diligence (AML/KYC): Assist with the onboarding process by conducting rigorous compliance due diligence on correspondent broker-dealers, including reviewing their internal compliance frameworks.
• Trade Surveillance: Lead and continuously improve the firm’s trade surveillance program to detect and prevent market abuse, insider trading, and regulatory violations. This includes developing internal tools, integrating with third-party vendors, and tracking escalated matters to resolution.
• Oversee onboarding supervision of registered representatives, including review of U4/U5 filings and disclosure events
• Continually evaluate systems used to meet the requirements of applicable rules and regulations and propose enhancements to increase efficiency and effectiveness
• Regulatory Reporting: Ensure the accuracy and timeliness of regulatory filings, utilizing a strong working knowledge of CAT (Consolidated Audit Trail) Reporting to support the broader compliance department.

QUALIFICATIONS

• Experience: 5 to 7 years of relevant regulatory and compliance experience within the financial services industry, specifically within a clearing firm and / or broker-dealer environment.
• Clearing Expertise: Prior exposure to clearing firm operations, compliance requirements, and foreign correspondent relationships is highly preferred.
• Regulatory Knowledge: Deep, demonstrable knowledge of FINRA 3110, 3120, 3130 and SEC rules and regulations, and a clear understanding of the unique compliance obligations of a clearing firm, and associated broker dealers.
• Technical Proficiency: Experience with data and trend analysis related to trade surveillance and compliance monitoring programs. Working knowledge of MS Office is required.
• Soft Skills: An independent self-starter with a proactive, can-do attitude. Must be highly organized with exceptional interpersonal skills and the ability to communicate complex regulatory concepts clearly and effectively, both verbally and in writing.
• Background: A clean FINRA U4 and background check is strictly required for this position.

LICENSE / CERTIFICATION REQUIREMENTS

• FINRA Series 7: Required.
• FINRA Series 24: Strongly recommended.

COMPENSATION & BENEFITS

This position is a full-time, hybrid role located at our Headquarters in Miami, FL. Salary is highly competitive and commensurate with experience.

• health, dental, and vision insurance.
• Life insurance, long-term disability, and 401(k) options.