Outsourced Chief Compliance Officer; BD

Next Reg provides innovative, technology-driven solutions for the next generation of investment advisors and broker-dealers addressing all aspects of SEC and FINRA compliance. Combining deep expertise with advanced technology and AI-powered tools, Next Reg transforms compliance into a strategic advantage for financial firms. We empower financial professionals to optimize workflows, effectively manage risk, and confidently navigate complex regulations while focusing on growth.

This a fractional, remote OCCO role for a Miami-based investment bank. It entails serving as an Outsourced Chief Compliance Officer for the firm's broker-dealer. Responsibilities include overseeing compliance programs, ensuring adherence to FINRA regulations, conducting compliance reviews, preparing filings, and implementing procedures to mitigate risk. The role involves collaborating closely with clients, analyzing complex regulatory matters, providing guidance on financial compliance issues, and maintaining accurate compliance documentation.

• FINRA Series 7 and 24, 63 a plus
• Compliance Management and Regulatory Compliance skills
• Strong Analytical Skills to interpret and apply complex regulatory requirements
• Excellent Communication skills to effectively guide clients and influence key stakeholders
• Background in Finance or related field to understand industry-specific compliance standards
• Knowledge of FINRA regulations and experience developing and managing compliance programs
• Proven ability to work on-site in a fast-paced, client-focused environment
• Advanced certifications such as IACCP® or a JD are a plus