Compliance Manager (On-Site)

Thenextreg; Miami (FL); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Health insurance

Dental and vision insurance

On-site Brickell, Miami office

Job summary

NextReg, an AI-native compliance technology firm based in Brickell, Miami, seeks a Compliance Manager to support regulatory registrations and day-to-day program management for RIAs, BDs, and fintech clients. You will draft filings in NexOS, verify details, and collaborate with senior leaders for final reviews.

You’ll work hands-on in NexOS, using AI-assisted workflows to draft filings and program documents, refining outputs before submission.

Qualifications

• Experience in financial services compliance with RIAs or broker-dealers.
• Hands-on experience preparing Form ADV, Form U4/U5, or other regulatory filings.
• Working knowledge of Advisers Act of 1940, FINRA rules, and state securities regulations.

Responsibilities

• Prepare regulatory filings and amendments for clients.
• Support day-to-day compliance program tasks and calendar management.
• Review drafts and coordinate with Compliance Director for final approvals.
• Onboard new clients and document repeatable processes as the team grows.

Skills

Regulatory compliance

Form ADV filings

IARD / FINRA CRD

AI-assisted workflows

Client communications

Tools

NexOS platform

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 Manager supports our Compliance Director in delivering AI-enabled regulatory registrations and day-to-day compliance program management for RIA, BD, and fintech clients. You will own the execution of key workstreams, from preparing registration filings to running recurring program tasks, while learning directly from senior compliance leaders.

You will work hands-on in NexOS, our compliance operations platform, using AI-assisted workflows to prepare drafts of filings, manuals, and program documents, then checking and refining them before they go to the Compliance Director for final review. Your feedback on those workflows will help our product team make them better.

This is an on-site role at our Brickell office in Miami. It is a strong fit for a compliance professional ready to take on more client responsibility and grow toward a director-level role.

What you'll do

Regulatory registrations

• Prepare SEC and state RIA registration filings, including Form ADV Parts 1A, 2A, and 2B and Form CRS, for Compliance Director review
• Support broker-dealer registrations, including Form BD and FINRA new member application materials
• Process individual registrations and terminations (Forms U4 and U5) through IARD, FINRA Gateway, and CRD
• Track state notice filings, renewals, and amendments, and gather the client information needed to complete them
• Use AI-assisted workflows in NexOS to generate first drafts, then verify facts, check regulatory requirements, and flag open items

Compliance program support

• Serve as a day-to-day point of contact for assigned clients, working alongside the Compliance Director
• Draft and update compliance manuals, written supervisory procedures, codes of ethics, and related policies
• Run recurring program tasks, including ADV amendments, personal trading and holdings reviews, marketing and advertising reviews, and email and trade surveillance
• Maintain each client's regulatory calendar, task tracker, and books and records in NexOS

Testing and exam support

• Perform compliance testing and document findings for annual compliance reviews and risk assessments
• Assemble document productions and support clients during SEC, FINRA, and state examinations
• Track remediation items to completion and keep clients and the Compliance Director informed

Team and platform

• Monitor regulatory updates and prepare summaries for the team and for clients
• Help prepare and deliver compliance training to client personnel
• Share feedback with our product and engineering team to improve NexOS templates, workflows, and AI outputs
• Help onboard new clients and document repeatable processes as the team grows

What we're looking for

• Experience in financial services compliance with RIAs, broker-dealers, or similar
• Hands-on experience preparing Form ADV, Form U4/U5, or other regulatory filings through IARD, FINRA Gateway, or CRD, or willingness to learn quickly
• Working knowledge of the Investment Advisers Act of 1940, FINRA rules, and state securities regulations
• Experience supporting compliance program tasks such as policy updates, surveillance reviews, annual reviews, or exam preparation
• Excellent attention to detail and strong written communication
• Ability to manage multiple client deliverables and deadlines at once
• Comfort using AI-assisted tools daily while owning the accuracy of the final work product

Preferred Qualifications (Not Required)

• Experience in outsourced compliance, compliance consulting, or another client-facing compliance role
• FINRA Series 65 or 66, or progress toward the CRCP or IACCP designation
• Exposure to fintech, digital wealth, or crypto-adjacent business models
• Experience with compliance technology platforms
• Spanish fluency, to support our clients in Latin America
• 20 days of paid time off
• Health, dental, and vision insurance
• A collaborative, on-site team culture in Brickell, Miami
• Direct exposure to firm leadership and the chance to shape an AI-native compliance platform