Compliance Director; On-Site

Next Reg 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.

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.

• 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

• 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

• 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

• 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

• 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…