Compliance Manager -Broker Dealer

Compliance Manager -Broker Dealer

Location: Miami, FL (In-office min. 3 days per week)

Company: Velox Clearing LLC

Department: Compliance

Position Type: Full-Time, Onsite/Hybrid

Reports To: Chief Compliance Officer (CCO)

Job Overview:

Velox Clearing LLC seeks a highly experienced Compliance Manager with 3-5 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 requires broker dealer experience (preferably clearing) and 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, possess 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

• Assist in the development, maintenance, and execution of the Firm’s compliance program pursuant to FINRA, SEC and BSA/AML requirements
• Respond to regulatory, internal and external inquiries from the SEC, FINRA and FinCEN
• Assist with client onboarding processing and due diligence reviews
• Conduct electronic communication and personal trading surveillance monitoring
• Assist with correspondent trade surveillance, tracking and follow-up of escalated matters
• Develop and oversee the firm training programs and ensure compliance with both firm element and regulatory element components
• Participate in various general compliance initiatives as assigned

Qualifications

• Three (3) to five (5) years of relevant experience within a broker dealer
• Prior exposure to clearing firm operations and foreign correspondent relationships helpful
• Strong knowledge of KYC, CDD, EDD, CIP requirements and Global Sanctions
• Independent self-starter with a positive, can-do attitude; ability to engage proactively.
• Highly organized with strong interpersonal skills and ability to communicate effectively both verbally and in writing
• Experience with data and trend analysis related to the oversight of an AML and surveillance program
• A clean FINRA U4 and background is required for this position

License / Certification Requirements

• FINRA Series 7 Required
• FINRA Series 24 Required
• Broker Dealer experience Required
• Certified Anti-Money Laundering Specialist, ACAMS or CFE preferred.

Job is full-time. Salary is competitive, and health, dental and vision benefits are included. Life, long-term disability and 401(k) options are available.