Account Executive – Compliance Services

Thenextreg; Miami (FL); On-site; USD 70,000 - 90,000; Full time

Job summary

NextReg is seeking a proactive Account Executive in Miami to drive new business with RIAs, fintechs, wealth managers, and other financial institutions. The role requires understanding SEC regulations, selling compliance services and technology solutions, and building strong client relationships.

On-site presence in Miami is expected as part of a fast-paced, tech-forward team. Ideal candidates bring 2–7 years in compliance, sales, or financial services, with strong communication and presentation

Qualifications

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Responsibilities

• Identify and develop new business opportunities with RIAs, fintechs, wealth managers, private funds, and other financial institutions.
• Manage the sales process, including prospecting, client meetings, proposals, negotiations, and closing opportunities.
• Build and maintain relationships with prospective clients, compliance officers, founders, and senior management.
• Understand prospective clients' regulatory challenges and present appropriate compliance services and technology solutions.
• Work closely with NextReg's compliance SMEs to develop tailored solutions and support technical discussions.
• Communicate the value of outsourced CCO services, regulatory registrations, ongoing compliance support, and compliance technology.
• Maintain accurate CRM records, manage the sales pipeline, and proactively follow up on opportunities.
• Stay current on SEC regulatory developments, industry trends, and emerging compliance technologies.
• Contribute to the development and execution of business development initiatives.

Skills

Communication skills

Relationship building

Presentation skills

Tech-savvy

RegTech knowledge

Tools

CRM platforms

Job description

NextReg is a modern regulatory compliance firm providing comprehensive solutions to investment advisers, fintech companies, wealth managers, broker-dealers, and private investment firms.

We combine deep regulatory expertise with innovative technology and AI-powered tools to deliver proactive, efficient, and scalable compliance solutions.

Our team consists of experienced compliance professionals and technology specialists who are transforming how financial institutions approach regulatory compliance.

About the Role

NextReg is seeking a proactive, detail-oriented, and technology-savvy Account Executive to join our growing team in Miami.

The ideal candidate has a background in SEC regulatory compliance, experience selling compliance or financial services, or a strong desire to transition from a compliance role into sales and business development.

This position requires someone who understands the challenges faced by compliance professionals, enjoys building relationships, and can identify opportunities to deliver meaningful value to clients.

We are looking for someone who combines regulatory knowledge, commercial awareness, and a strong interest in technology and innovation.

Key Responsibilities

Identify and develop new business opportunities with RIAs, fintech companies, wealth managers, private funds, and other financial institutions.

Manage the sales process, including prospecting, client meetings, proposals, negotiations, and closing opportunities.

Build and maintain relationships with prospective clients, compliance officers, founders, and senior management.

Understand prospective clients' regulatory challenges and present appropriate compliance services and technology solutions.

Work closely with NextReg's compliance subject matter experts (SMEs) to develop tailored solutions and support technical discussions.

Communicate the value of outsourced CCO services, regulatory registrations, ongoing compliance support, SEC examination preparation, and compliance technology.

Maintain accurate CRM records, manage the sales pipeline, and proactively follow up on opportunities.

Stay current on SEC regulatory developments, industry trends, and emerging compliance technologies.

Contribute to the development and execution of business development initiatives.

Qualifications

2–7 years of professional experience in compliance, sales, business development, financial services, or a related field.

Knowledge of SEC regulations and the investment adviser regulatory environment.

Previous experience selling compliance services, financial services, or technology solutions, or a strong interest in transitioning into sales.

Strong communication, presentation, and relationship-building skills.

Proactive, self-motivated, and results-oriented, with exceptional attention to detail.

Tech-savvy, with an interest in AI, automation, CRM platforms, and regulatory technology.

Ability to understand complex regulatory topics and communicate solutions clearly to clients.

Strong organizational skills and the ability to manage multiple opportunities independently.

Willingness to work on-site in Miami.

Preferred Qualifications

Experience working with SEC-registered investment advisers, fintech companies, broker-dealers, or compliance consulting firms.

Familiarity with the Investment Advisers Act of 1940, Form ADV, SEC examinations, and compliance program requirements.

Experience with B2B consultative sales, SaaS, RegTech, or outsourced compliance services.

Established relationships within the investment management or financial services industry.

Experience collaborating with senior compliance professionals and other subject matter experts.

What We Offer

Opportunity to join a growing, technology-driven regulatory compliance firm.

Direct exposure to experienced Chief Compliance Officers, industry specialists, and innovative financial technology companies.

Collaborative and entrepreneurial environment with opportunities for professional development.

Exposure to AI-enabled compliance solutions and emerging regulatory technologies.

Opportunity to contribute directly to NextReg's growth and business development strategy.

Who We're Looking For

We value individuals who take ownership, anticipate needs, pay attention to details, and are comfortable working in a fast-paced environment.

You don't need to be an established salesperson to succeed in this position. If you have a strong compliance background, understand the industry, enjoy connecting with people, and are interested in developing a career in sales, we encourage you to apply.