AI-Driven Compliance Manager — RegTech & Client-Facing

Thenextreg; Miami (FL); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Health insurance

Dental and vision insurance

On-site Brickell, Miami office

Job summary

NextReg, an AI-native compliance technology firm based in Brickell, Miami, seeks a Compliance Manager to support regulatory registrations and day-to-day program management for RIAs, BDs, and fintech clients. You will draft filings in NexOS, verify details, and collaborate with senior leaders for final reviews.

You’ll work hands-on in NexOS, using AI-assisted workflows to draft filings and program documents, refining outputs before submission.

Qualifications

• Experience in financial services compliance with RIAs or broker-dealers.
• Hands-on experience preparing Form ADV, Form U4/U5, or other regulatory filings.
• Working knowledge of Advisers Act of 1940, FINRA rules, and state securities regulations.

Responsibilities

• Prepare regulatory filings and amendments for clients.
• Support day-to-day compliance program tasks and calendar management.
• Review drafts and coordinate with Compliance Director for final approvals.
• Onboard new clients and document repeatable processes as the team grows.

Skills

Regulatory compliance

Form ADV filings

IARD / FINRA CRD

AI-assisted workflows

Client communications

Tools

NexOS platform

Job description

NextReg, an AI-native compliance technology firm based in Brickell, Miami, seeks a Compliance Manager to support regulatory registrations and day-to-day program management for RIAs, BDs, and fintech clients. You will draft filings in NexOS, verify details, and collaborate with senior leaders for final reviews.

You’ll work hands-on in NexOS, using AI-assisted workflows to draft filings and program documents, refining outputs before submission.