VP, Compliance

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 is seeking a Vice President, Compliance to help oversee and enhance the firm’s compliance program. This role will work closely with the advisory, legal, operations, IT, and other support teams, ensuring the firm meets its regulatory obligations. The ideal candidate will have deep expertise in investment advisory compliance, with a strong understanding of the Investment Advisers Act of 1940 and related regulations. This individual will be responsible for both day-to-day compliance oversight and periodic/ad hoc compliance reviews, proactively identifying and mitigating risks. The role requires someone who can balance taking direction with demonstrating initiative and independent problem-solving. Prior experience working with Ultra-High-Net-Worth (UHNW) clients is preferred.

Aligned Wealth is a tech-forward RIA built for the agentic age of transparency and best practices, serving founders, executives and multigenerational families. Aligned is empowered by our long-term partnership with NewEdge Wealth, an approximately $100 billion firm that provides back office, technology, investment management and service support for our clients.

This is a full-time, in-person role at the company’s Miami office at 1111 Brickell Avenue, Suite 2180, Miami, Florida 33131.

Responsibilities:

• Assist in identifying rules and regulations applicable to the firm’s current and proposed 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 Anti-Money Laundering (AML) and Customer Identification Program (CIP) reviews;
• Implement and enhance Know Your Customer (KYC) policies, ensuring 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, policies, and ethical standards;
• Oversee trade monitoring, personal trading reviews, and code of ethics enforcement;
• Ability to work independently across multiple clients and tasks simultaneously;
• Ability to promptly escape breaches in policies/compliance to superiors and/or clients;
• Lead and mentor compliance team members, ensuring professional development and operational efficiency;
• Excellent time management and organization;
• Ability to work well in a fast-paced, small-team environment;
• Ability to work independently, multi-task and prioritize effectively;
• Strong oral and written communication skills; and
• Highly motivated and goal oriented, volunteers for and shows initiative on tasks and projects.

Skills & Qualifications:

• 7-10+ years of experience in Investment Advisor Compliance, with a 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 RIA firms, wealth management platforms, private fund advisers, or multi-asset investment managers.
• Excellent analytical, communication, and leadership skills, with the ability to effectively advise senior management and stakeholders.
• Experience with regulatory examinations, risk assessments, and compliance audits.
• Bachelor’s degree required; JD, CPA, CFA, or relevant compliance certification (e.g., IACCP) preferred.
• Proficient in Artificial Intelligence with a particular focus on Claude