Compliance Director (RIA)

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

Company Description

NextReg is building the regulatory infrastructure layer for the next generation of financial services, enabling RIAs, broker-dealers, and fintechs to build, operate, and scale compliant investment products. The company combines career Chief Compliance Officers from leading financial institutions with AI-native technology to automate regulatory operations at scale. Through a unified platform, NextReg covers registration and licensing, policies, filings, testing, monitoring, marketing review, regulatory change, examinations, governance, and ongoing CCO oversight. Its model centers on AI-powered CCOs, a Regulatory Operations System, and an API “Regulatory Host” that embed compliance directly into business infrastructure. Today, NextReg supports more than 75 financial institutions with over $20B in assets under management, from emerging fintechs and digital advisers to established investment firms.

Role Description

The Compliance Director (RIA) is a full-time role in Miami, FL responsible for overseeing and evolving compliance programs for Registered Investment Advisers using NextReg’s platform. This role leads the design, implementation, and ongoing enhancement of compliance frameworks, policies, and procedures aligned with SEC and state regulations, as well as relevant industry standards.

Day-to-day responsibilities include reviewing and approving marketing and client communications, supervising regulatory filings and registrations, monitoring advisory activities for adherence to regulatory requirements, and overseeing testing and surveillance programs.

The Compliance Director will collaborate closely with internal product and engineering teams, as well as client leadership, to translate regulatory expectations into scalable operational workflows and controls. This role also provides strategic CCO-level oversight, supports regulatory examinations, and advises on regulatory change management to help clients grow while maintaining a robust compliance posture.

Qualifications

• Strong expertise in Compliance Management and Regulatory Compliance for RIAs *Must Have*


• Demonstrated proficiency in Compliance and Finance, with a solid understanding of securities regulation, fiduciary obligations, and investment products.


• Advanced Analytical Skills to interpret regulations, evaluate risks, and design effective controls and monitoring frameworks.


• Experience in building, leading, or serving as a senior member of compliance programs within financial services or fintech organizations.


• Familiarity with SEC and state RIA regulations, Form ADV requirements, marketing rule, custody rule, and related compliance obligations.


• Ability to work effectively in a remote, technology-driven environment, collaborating with cross-functional teams and clients.


• Excellent written and verbal communication skills, including the ability to produce clear policies, reports, and regulatory documentation.


• Bachelor’s degree in law, finance, business, or a related field; advanced degree or relevant professional certifications (e.g., JD, CFA, CRCP, IACCP) are a plus.