AI-Powered Compliance Director

Thenextreg; Miami (FL); On-site; USD 140,000 - 190,000; Full time

Benefits offered by this job

Two yearly company-wide retreats

Health, dental, and vision insurance

20 days of paid time off

Job summary

NextReg, a Miami-based AI-native compliance technology firm, seeks a Compliance Director to lead AI-enabled regulatory registrations and day-to-day program management for RIAs, broker-dealers, and fintech clients. You will draft filings and program documents in NexOS, then apply expert judgment to finalize them, while shaping workflows with product and engineering teams.

You will be the senior compliance partner for clients, guiding through SEC/state registrations, ongoing program operations,

Qualifications

• 8+ years of financial services compliance experience with RIAs, broker-dealers, or both.
• Hands-on experience preparing and filing registrations (Form ADV, Form BD, U4/U5) through IARD, FINRA Gateway, and CRD.
• Deep knowledge of the Investment Advisers Act, Securities Exchange Act, FINRA rules, and state securities regulations.
• Track record of building or running compliance programs, including policies, annual reviews, and testing.
• Experience supporting firms through SEC, FINRA, or state examinations.
• Clear written and verbal communication; ability to advise senior executives and CCOs.
• Curiosity about AI and willingness to use AI-assisted tools while owning final output quality.
• Strong organization and ability to manage multiple client deadlines.

Responsibilities

• Lead regulatory registrations for SEC and state RIAs and BD registrations.
• Manage day-to-day compliance program for a portfolio of clients.
• Draft and maintain compliance manuals, written supervisory procedures, and related policies.
• Oversee ADV amendments, personal trading reviews, marketing reviews, and books/records.
• Track regulatory calendars and ensure deadlines are met.
• Conduct annual reviews, risk assessments, and exam readiness.
• Advise client leadership on SEC, FINRA, and state requirements.
• Collaborate with product and engineering to improve NexOS workflows.
• Mentor junior associates and help build repeatable processes.

Skills

Financial compliance

Regulatory knowledge

Client advisory

Project management

Communication

AI-friendly mindset

Job description

NextReg, a Miami-based AI-native compliance technology firm, seeks a Compliance Director to lead AI-enabled regulatory registrations and day-to-day program management for RIAs, broker-dealers, and fintech clients. You will draft filings and program documents in NexOS, then apply expert judgment to finalize them, while shaping workflows with product and engineering teams.

You will be the senior compliance partner for clients, guiding through SEC/state registrations, ongoing program operations,