Compliance Manager; 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 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 work streams, 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.

• 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

• 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

• 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

• 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

• 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…