Compliance Director (On-Site)

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 is an AI-native compliance technology firm based in Brickell, Miami. We serve registered investment advisers (RIAs), broker-dealers (BDs), and fintechs with regulatory registrations, compliance program management, Chief Compliance Officer services, and API-native regulatory hosting.

Our team is made up of career compliance officers, technologists, and operators who have built and run compliance programs at leading wealth managers and fintechs. We pair that experience with NexOS, our proprietary compliance operations platform, so clients get senior-level judgment delivered with the speed and consistency of modern software.

We believe great compliance is a team sport. Our people work side by side with clients, with each other, and with our engineering team to raise the standard for how compliance gets done.

About the role

The Compliance Director leads AI-enabled regulatory registrations and day-to-day compliance program management for a portfolio of RIA, BD, and fintech clients.

You will be the senior compliance partner our clients rely on, from initial SEC, state, and FINRA registration through ongoing program operations, testing, and exam readiness.

You will work hands-on in NexOS, our compliance operations platform, using AI-assisted workflows to draft filings, compliance manuals, and program documents, then applying expert judgment to review, refine, and finalize them. You will also help shape those workflows by giving feedback to our product and engineering team.

This is an on-site role at our Brickell office in Miami. You will report to executive leadership and work closely with our compliance, technology, and client teams. As our client base grows, you will help mentor and develop junior compliance team members.

What you'll do

Regulatory registrations

• Lead new SEC and state RIA registrations, including Form ADV Parts 1A, 2A, and 2B, Form CRS, and supporting documentation
• Support broker-dealer registrations and new member applications (Form BD and FINRA NMA), and continuing membership applications
• Manage individual registrations and transitions, including Forms U4 and U5, through IARD, FINRA Gateway, and CRD
• Coordinate state notice filings, renewals, and registration amendments
• Use AI-assisted workflows in NexOS to prepare first drafts, then review, refine, and finalize filings for accuracy and regulatory fit

Compliance program management

• Serve as the day-to-day compliance lead for a portfolio of RIA, BD, and fintech clients
• Draft and maintain compliance manuals, written supervisory procedures, codes of ethics, and related policies tailored to each client's business
• Oversee recurring program tasks, including annual and other-than-annual ADV amendments, personal trading and holdings reviews, marketing and advertising reviews, and books and records requirements
• Track the regulatory calendar for each client and make sure deadlines are met

Testing, risk, and exam readiness

• Conduct annual compliance reviews, forensic testing, and risk assessments
• Prepare clients for SEC, FINRA, and state examinations, and support them through document requests, interviews, and deficiency responses
• Identify gaps and lead remediation plans with clear owners and timelines

Client advisory and regulatory change

• Advise client leadership and CCOs on SEC, FINRA, and state requirements in clear, practical terms
• Monitor regulatory developments and translate them into actionable updates for clients and for our internal playbooks
• Deliver compliance training to client personnel

Team and platform

• Partner with our product and engineering team to improve NexOS workflows, templates, and AI outputs based on real client work
• Mentor junior compliance associates and help build repeatable, high-quality processes as the team grows
• Contribute to client onboarding, scoping, and select business development conversations

What we are looking for

Required

• 8+ years of financial services compliance experience with RIAs, broker-dealers, or both
• Hands-on experience preparing and filing RIA and/or BD registrations (Form ADV, Form BD, U4/U5) through IARD, FINRA Gateway, and CRD
• Deep working knowledge of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, FINRA rules, and state securities regulations
• Track record of building or running compliance programs, including policies and procedures, annual reviews, and testing
• Experience supporting firms through SEC, FINRA, or state examinations
• Comfort advising senior executives and CCOs, with strong written and verbal communication
• Curiosity about AI and technology, and a willingness to use AI-assisted tools daily while owning the quality of the final work product
• Strong organization and the ability to manage multiple client deadlines at once

Preferred Qualifications (Not Required)

• Experience in outsourced compliance, compliance consulting, or another client-facing compliance role
• FINRA Series 24, 65, or 66, or the CRCP or IACCP designation
• Experience with fintech, digital wealth, or crypto-adjacent business models
• Prior experience as a CCO or deputy CCO
• JD or advanced degree
• Spanish fluency, to support our clients in Latin America
• 20 days of paid time off
• Health, dental, and vision insurance

*Two yearly company-wide retreats, tons of fun!*