Senior Compliance Manager

2 weeks ago

Miami, United States Velox Clearing Full time

Senior Compliance Manager/Director

Location: Miami, FL

Company: Velox Clearing LLC

Department: Compliance

Position Type: Full-Time, Onsite/Hybrid

Reports To: Chief Compliance Officer (CCO)


Job Overview:

Velox Clearing LLC is seeking a highly experienced Senior Compliance Manager/Director with 5-7 years of broker-dealer compliance experience, particularly in compliance program management, Anti-Money Laundering (AML), and general broker-dealer regulatory functions. The ideal candidate will have deep expertise in securities regulatory frameworks and be able to guide internal teams through regulatory changes and requirements, interacting with regulatory bodies (FINRA, SEC, etc.), driving compliance processes, and ensuring the firm maintains a high standard of operational resiliency and compliance with evolving regulations.

This role involves managing all aspects of the compliance program, ensuring adherence to policies and procedures, and interacting with key business stakeholders. The candidate will have a profound sense of ownership and accountability, possessing in-depth knowledge of clearing firm operations, trade execution, broker-dealer regulations, and risk management while serving as a key point of contact during regulatory examinations. A Series 24 license is required for this role.


Key Responsibilities:

  • Compliance Leadership: Lead and manage the firm’s compliance program in coordination with the AMLCO to ensure continued compliance with FINRA, SEC, and other regulatory bodies.
  • Regulatory Interaction: Serve as the primary point of contact for interactions with regulators and manage responses to regulatory inquiries, examinations, audits, and other requests from FINRA, SEC, and other agencies, ensuring that deadlines are met with accuracy.
  • Policy Oversight: Oversee and maintain comprehensive, robust, and up-to-date written supervisory procedures (WSPs) that reflect the firm’s business practices and processes. Ensure that applicable policies and procedures comply with the latest regulatory changes.
  • Regulatory Updates & Compliance: Provide general updates on compliance-related matters to ensure all business lines are aware of relevant rules and regulation changes. Engage with operations and other teams to implement necessary changes.
  • Client & Business Guidance: Offer day-to-day compliance guidance to internal teams, including operations, sales, and other business units, ensuring they remain aware of regulatory requirements and updates.
  • Risk Identification & Management: Identify potential compliance risks during onboarding, trading, or clearing processes, escalating them to the appropriate teams when needed.
  • Audit & Examination Support: Play an active role in preparing for and responding to regulatory audits and examinations, ensuring that the firm is fully compliant and prepared for any inspection by FINRA, SEC, and other regulators.
  • Operational Resiliency: Ensure the firm’s compliance systems are resilient and adaptable to changes in regulatory standards. Proactively manage the firm’s response to new regulations to maintain an effective and robust compliance program.
  • Training & Education: Develop and lead internal training programs to ensure employees are aware of compliance obligations, AML standards, and updates to broker-dealer regulations.
  • Communication & Reporting: Regularly update internal stakeholders on the status of compliance initiatives, regulatory inquiries, and examinations. Maintain clear and concise communication across departments, particularly during regulatory reviews.
  • Continuous Process Improvement: Drive the continuous improvement of the compliance program through Business Process Modeling (BPM) and by implementing best practices in compliance management.


Skills and Qualifications:

  • Technical Expertise: In-depth knowledge of broker-dealer operations, particularly correspondent clearing, trading, and compliance requirements. Familiarity with AML processes, trade execution, and clearing operations.
  • Communication & Leadership: Strong written and verbal communication skills, with the ability to translate complex regulatory requirements into actionable guidance for business teams.
  • Attention to Detail: Exceptional attention to detail, with a proven ability to manage multiple tasks, meet deadlines, and stay organized in a fast-paced environment.
  • Critical Thinking & Problem-Solving: A critical thinker with strong problem-solving skills who can identify compliance gaps and risks while finding appropriate solutions.
  • Regulatory Knowledge: Comprehensive understanding of FINRA, SEC, and SRO rules, with prior experience managing regulatory inquiries, examinations, and audits.
  • Client & Business Interaction: Experience providing compliance guidance and collaborating with internal business units, such as operations and trading, to ensure regulatory compliance.
  • Regulatory Submission Expertise: Ability to manage the tracking and submission of data for regulatory requests in a timely and precise manner.


Education and Experience:

  • Education: Bachelor's degree required; advanced degrees in law, finance, or business are a plus.
  • Experience:
  • Minimum of 5-7 years of experience in broker-dealer compliance, with a focus on compliance program management, AML, and clearing firm operations.
  • Experience handling regulatory examinations and interacting with FINRA, SEC, and other regulatory bodies.
  • Familiarity with the operations of clearing firms and correspondent clearing is strongly preferred.
  • Certifications:
  • Series 24 certification required; Series 7 preferred (or willingness to obtain). Additional FINRA licenses such as Series 7, 63, or 79 are advantageous.
  • AML qualifications (ACAMS certification) are required.
  • Familiarity with FINRA rules applicable to broker-dealers and clearing operations is essential.


Work Environment:

  • Location: Miami, FL (3 days a week in the office).
  • Salary & Benefits: Competitive salary and comprehensive benefits, including medical, dental, vision, 401(k), and PTO.

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