Sobre a vagaHelp 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 ObrigatóriosPara 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 adicionaisEssa é uma vaga 100% presencial.
Benefícios- Vale refeição e vale alimentação atrativos;
- Plano de Saúde Omint;
- Plano Odontológico Amil;
- Seguro de vida MetLife;
- Wellhub ou TotalPass;
- Café da manhã todos os dias no escritório;
- Massagem in Company;
- Auxílio educacional para certificações de mercado (conforme regras de cada diretoria);
- Day off no mês do aniversário;
- Psicologia Viva: sessões de terapia online gratuitas;
- Auxílio Creche no valor de R$455 para cada filho(a) de até 5 anos;
- Empresa Cidadã: licença maternidade e paternidade estendidas;
- Bônus semestral (conforme regras formuladas pela Avenue);
- Corretagem gratuita ilimitada e 50 operações com desconto no câmbio para operações de investimento no app da Avenue;
- USD 100,00 depositados no primeiro salário para abrir sua conta na Avenue e começar a investir!
