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: Required. COMPENSATION & BENEFITS This position is a full-time, located at our Headquarters in Miami, FL. Salary is highly competitive and commensurate with experience. We offer a comprehensive benefits package including health, dental, and vision insurance. Life insurance, long‑term disability, and 401(k) options are also available. #J-18808-Ljbffr

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