Regulatory Compliance Manager

Na Avenue, somos movidos por um propósito claro: expandir o potencial do investidor brasileiro, fazendo sua vida render mais — em dólar. Isso 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. Somos 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. Aqui, 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. Sobre a vaga Help 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 Obrigatórios Para 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 adicionais Essa 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!