Compliance Director - AI-Driven Regulatory Ops for RIAs

NextReg; Miami (FL); On-site; USD 140,000 - 180,000; Full time

Job summary

NextReg is seeking a Compliance Director (RIA) in Miami, FL to design, implement, and enhance compliance programs using its AI-powered Regulatory Operations Platform. You will oversee policies, procedures, and ongoing governance for RIAs while aligning with SEC and state rules.

You will collaborate with product and engineering teams, supervise filings, and guide regulatory change management to support client growth and robust compliance posture.

Qualifications

• Strong expertise in Compliance Management and Regulatory Compliance for RIAs.
• Solid understanding of securities regulation, fiduciary obligations, and investment products.
• Experience building or leading senior compliance programs within financial services.

Responsibilities

• Reviewing and approving marketing and client communications.
• Supervising regulatory filings and registrations.
• Monitoring advisory activities for regulatory adherence.
• Overseeing testing and surveillance programs.
• Translating regulatory expectations into scalable workflows and controls.

Skills

Compliance Management

Regulatory Compliance

Securities Regulation

Analytical Skills

Leadership

Policy & Controls

Regulatory Documentation

Education

Bachelor’s degree in law/finance/business

Advanced degree or professional certifications

Job description

NextReg is seeking a Compliance Director (RIA) in Miami, FL to design, implement, and enhance compliance programs using its AI-powered Regulatory Operations Platform. You will oversee policies, procedures, and ongoing governance for RIAs while aligning with SEC and state rules.

You will collaborate with product and engineering teams, supervise filings, and guide regulatory change management to support client growth and robust compliance posture.