Senior Compliance Lead, Clearing & Trade Surveillance

Velox Clearing LLC; 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

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.