Chief Compliance Strategist – Investment Advisory

Aligned Wealth; Miami (FL); On-site; USD 180,000 - 240,000; Full time

Job summary

Aligned Wealth, a Miami-based advisory firm, is seeking a Vice President, Compliance to lead and enhance the firm’s compliance program. The role collaborates with advisory, legal, operations, IT and support teams to ensure regulatory obligations are met.

Deep expertise in investment advisory compliance and the Investment Advisers Act of 1940 is required. The position is full-time and in-person at the Miami office, focusing on day-to-day oversight, risk reviews, and ongoing policy development for

Qualifications

• 7-10+ years of experience in Investment Advisor Compliance.
• Deep understanding of the Investment Advisers Act of 1940.
• Strong knowledge of SEC regulations, Form ADV, marketing rules, trading practices, and risk management.
• Experience working with RIAs, wealth platforms, private fund advisers, or multi-asset investment managers.
• Bachelor’s degree required; JD, CPA, CFA, or relevant compliance certification preferred.
• Proficient in Artificial Intelligence with a particular focus on Claude.

Responsibilities

• Assist in identifying rules and regulations applicable to the firm’s advisory business.
• Develop, implement, and enhance policies, procedures, and internal controls to mitigate compliance risks.
• Oversee annual compliance reviews, risk assessments, and mock audits to ensure regulatory readiness.
• Assist in new adviser transitions.
• Develop the firm’s AML/CIP reviews; KYC policies with proper due diligence and risk-based monitoring.
• Review and approve marketing materials, performance presentations, social media, and website content for regulatory compliance.
• Develop and conduct compliance training programs for employees on regulatory obligations and ethics.
• Oversee trade monitoring, personal trading reviews, and code of ethics enforcement.
• Lead and mentor compliance team members for professional development and efficiency.

Skills

Investment Advisor Compliance

SEC regulations

Form ADV

Marketing rules

Trading practices

Risk management

Leadership

Communication

Regulatory examinations

Compliance certification

AI (Claude)

Education

JD/CPA/CFA or related cert

Tools

AI Claude

Job description

Aligned Wealth, a Miami-based advisory firm, is seeking a Vice President, Compliance to lead and enhance the firm’s compliance program. The role collaborates with advisory, legal, operations, IT and support teams to ensure regulatory obligations are met.

Deep expertise in investment advisory compliance and the Investment Advisers Act of 1940 is required. The position is full-time and in-person at the Miami office, focusing on day-to-day oversight, risk reviews, and ongoing policy development for