Senior Compliance Program Lead for RIAs, BDs & Fintech
NextReg
NextReg in Miami seeks a seasoned compliance leader to manage a diverse portfolio of RIAs and broker-dealers, owning client relationships and driving program effectiveness. You’ll act as the primary contact when issues matter and guide clients through complex regulatory paths. You’ll draft policies, oversee Form ADV filings, and support SEC/ FINRA examinations. You’ll also mentor staff and partner with AI/engineering to scale recurring regulatory work, in a growing, on‑site team at Brickell. #J-18808-Ljbffr NextReg
Vacancy posted 3 days ago
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