{"id":3629892,"url":"https://alion.io/job/avenue-regulatory-compliance-manager","title":"Regulatory Compliance Manager","company":{"id":60809,"name":"Avenue","domain":"avenue.us","url":"https://alion.io/company/avenue","size_band":null,"is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"InHire","truth_index":null},"role":"Management","role_family":"Management","seniority":"senior","employment_type":null,"work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Miami, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":null,"experience_years_min":5,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[],"status":"closed","first_seen_at":"2026-10-13T20:50:51Z","employer_posted_date":"2026-10-19","last_verified_at":"2026-11-09T17:40:35Z","board_verified":false,"closed_at":"2026-11-09T17:40:35Z","days_open":26,"trust":{"level":"not_scored","repost_count":null,"flags":[],"days_open":26},"description":"Na Avenue, somos movidos por um propósito claro: expandir o potencial do investidor brasileiro, fazendo sua vida render mais - em dólar.\nIsso significa oferecer acesso a oportunidades globais de investimento, com produtos, serviços e experiências que ajudam nossos clientes a construir um futuro financeiro mais sólido, diversificado e conectado ao mundo.\nSomos uma empresa em constante evolução, que combina visão estratégica com execução ágil - e isso só é possível porque temos pessoas comprometidas com o impacto que geram.\nAqui, você vai encontrar um ambiente colaborativo, dinâmico e com espaço para protagonismo. Valorizamos quem constrói junto, quem se envolve com os desafios e quem busca crescer enquanto contribui para o crescimento da empresa.\n\nSobre a vaga\n\nHelp 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.\nAs 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.\nNo seu dia a dia, você terá como responsabilidade\nAdvise on new business initiatives, assessing risks and educating first line of defense on construction.\nKeep abreast of industry best practices and recommend improvements to internal processes and procedures.\nMonitor and evaluate registered representatives' trading activity, correspondence, and outside business activities.\nMonitor retail and institutional communications approval process, as well as regulatory submissions. new accounts, and specific financial transactions.\nMaintain adherence to FINRA and SEC rules, support internal testing and surveillance, and assist with regulatory examinations.\nSubmit required reporting to state regulators for MSB licenses.\nHelp design, update, and implement written supervisory procedures (WSPs) and compliance controls.\nIdentify compliance breaches or suspicious activities and escalate issues to Chief Compliance Officer (CCO).\nDevelop and update compliance policies and procedures to ensure adherence to all applicable laws and regulations.\nAssist with responses to external audits and inspections to identify potential compliance risks and improve the effectiveness of controls.\nMonitor customer complaints and regulatory inquiries to ensure response in a timely manner.\nProvide guidance and training to employees on compliance-related issues.\nCollaborate with other departments to develop and implement strategies to mitigate compliance risks.\nMaintain accurate records of compliance activities, including audits, regulatory filings, and training records.\nRequisitos Obrigatórios\nPara se encaixar na posição, buscamos alguém com experiência e conhecimento nos seguintes pontos:\nActive FINRA Series 24, 7, SIE, and 63 or ability to obtain in the first 6 months.\n5+ years of experience in broker-dealer compliance, supervision, operations or regulatory oversight.\nStrong knowledge of FINRA/SEC regulations, attention to detail, risk assessment, and clear communication.\nSolid Analytical Skills and Financial services knowledge to interpret regulations, analyze data, and assess risk within investment and advisory activities.\nEffective Communication skills to prepare clear reports, policies, and guidance, and to collaborate with regulators, management, and internal teams.\nBachelor’s degree. \nDemonstrated attention to detail, integrity, and ability to work independently in a highly regulated and deadline-driven environment.\nPortuguese and English command.\n\nInformações adicionais\nEssa é uma vaga híbrida, com presença de 3x a 4x por semana no nosso escritório em Miami, EUA.\nBenefícios\nBônus: pago semestralmente de acordo com as regras formuladas pela Avenue.\nPagamentos (Pay checks): enviados quinzenalmente.\nFérias Remuneradas/PTO: 120 horas (15 dias úteis) no total distribuídas ao longo do ano, a serem acordadas e autorizadas antecipadamente com o gestor direto. As horas são válidas até 30 de julho do ano seguinte, não sendo cumulativas para o próximo período. O ano (ou a data de admissão) inicia com 24 horas, adicionando-se 4 horas a cada folha de pagamento (payroll).\nFeriados Remunerados: segue o calendário de feriados da NASDAQ.\nPlano de Saúde (Health care): United Health Care - cobertura Médica, Odontológica e Oftalmológica para o colaborador, cônjuge e filhos de até 24 anos.\nSeguros de Vida e Invalidez de Curto e Longo Prazo do Grupo Insperity (Insperity Group Short and Long-Term Disability Insurance Life Insurance)\nSeguro de Vida em Grupo Voluntário e Morte Acidental & Desmembramento (AD&D) da Insperity (pago pelo colaborador)\n401k: [Disponível após a conclusão de 3 meses de trabalho].\nEstacionamento (Parking)","description_format":"text","description_chars":5384,"description_truncated":false,"requirements":{"experience_years_min":5,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"bachelor","optional":false},"security_clearance":false,"languages":[]},"benefits":["401k plan","Life insurance"],"hiring_locations":[],"hiring_excludes":[],"relocation_offered":false,"industries":["Security Compliance"],"lifecycle":[{"event":"open","at":"2026-11-02T20:27:45Z"},{"event":"close","at":"2026-11-09T17:40:35Z"}],"visa":[],"liveness":null,"pay":null,"html_url":"https://alion.io/job/avenue-regulatory-compliance-manager","json_url":"https://alion.io/job/avenue-regulatory-compliance-manager.json","meta":{"generated_at":"2026-11-10T17:00:20Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":5118,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-11-11T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.1,"usd":0.01,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":60809},"rest":"https://alion.io/mcp/rest/get_company?id=60809"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Favenue-regulatory-compliance-manager"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":2,"usd":0.2},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Favenue-regulatory-compliance-manager"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.1,"usd":0.01},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Favenue-regulatory-compliance-manager"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/avenue-regulatory-compliance-manager\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Favenue-regulatory-compliance-manager"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":3629892}},{"tool":"search_jobs","arguments":{"company":"avenue.us","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":3629892},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); https://alion.io/mcp with an Alion account has everything. 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