Senior Consultant (SEC/FINRA Compliance)

About the Job

NextReg is seeking a proactive, tech-savvy Senior Consultant to join our dynamic team. In this role, you will act as a trusted regulatory partner to our diverse portfolio of clients, ranging from high-growth fintech startups to established multi-billion AUM registered investment advisors (RIA's) and broker-dealers (BD's). You will be instrumental in designing, managing, and modernizing compliance programs, preparing firms for SEC exams, and integrating AI-enhanced compliance tools. If you are passionate about transforming compliance from a traditional cost center into a strategic advantage and thrive in a role where you are empowered to own relationships, this role is for you.

Location

This role is in the office in Miami, FL. (Brickell).

About NextReg

NextReg is a forward-thinking, tech-driven regulatory partner serving the next generation of investment advisors. We specialize in providing institutional-grade SEC compliance infrastructure for modern wealth managers, independent RIAs, robo-advisors, and AI-driven fintech platforms. By combining decades of Chief Compliance Officer (CCO) experience with advanced technology and AI-powered automation, we streamline workflows, mitigate risk, and turn compliance into a competitive advantage. NextReg helps RIA’s and BD’s stay ahead of regulations so they can confidently focus on growth.

Responsibilities

As a Senior Consultant, you will blend high-level strategic advising with the hands-on, day-to-day execution of client compliance programs. Your core responsibilities will include:

• Program Management : Lead and manage comprehensive SEC compliance programs for a diverse book of clients, ensuring full adherence to federal and state regulatory requirements.
• Client Support & Advising : Serve as the primary, highly responsive daily point of contact for client CCOs and executive teams. Lead regular check-in meetings, provide prompt answers to ad-hoc regulatory questions, and offer actionable guidance on complex operational issues.
• Registration & Filings Management : Manage ongoing state and federal registration requirements. Draft, review, and process routine updates to Form ADVs, Form BDs, and U4/U5 filings, acting as a proficient administrator of the IARD and Web CRD systems.
• Technology Implementation : Actively assist in onboarding clients to NextReg’s AI-enhanced compliance automation tools, training their teams, and utilizing software to streamline their day-to-day workflows.
• ADV Updates : Draft, review, and update critical compliance documentation, including Form ADVs, compliance manuals (WSPs/P&Ps), and Codes of Ethics.
• Daily Compliance Operations : Oversee the administration of routine compliance tasks for multiple clients. This includes managing compliance calendars, reviewing personal securities transactions (PSTs) and outside business activities (OBAs), monitoring electronic communications, and overseeing employee attestations.
• Marketing & Advertising Review : Conduct day-to-day reviews of client marketing materials, pitch books, websites, algorithms, and social media content to ensure strict adherence to SEC Rule 206(4)-1 and FINRA Rule 2210.
• Policy Reviews Documentation : Draft, review, and continuously modernize critical compliance architecture, including Written Supervisory Procedures (WSPs), Policies & Procedures (P&Ps), and Codes of Ethics, ensuring they are tailored to each client's unique business model (RIA, BD, or dual-registrant).
• Testing, Audits & Exams : Execute ongoing compliance testing and lead Annual Reviews (SEC Rule 206(4)-7 / FINRA Rules 3120 & 3130). Conduct mock exams and provide hands-on, expert guidance during routine, sweep, or cause examinations by the SEC, FINRA, or state regulators.

Qualifications

• 4+ years of direct experience in compliance management, regulatory consulting, or a related legal capacity.
• Exceptional analytical skills with the ability to translate complex regulations into clear, practical business solutions.
• Strong written and verbal communication skills, with a track record of successfully advising executive-level stakeholders.
• Proactive self-starter with a proven ability to work independently, manage multiple client relationships and a deep sense of ownership of their work.
• Bachelor’s degree in Finance, Law, Business, or a related field.

Bonus Qualifications

• Previous experience serving as a CCO, Deputy CCO, Compliance Officer or Consultant at a broker-dealer, RIA, or consulting firm.
• NASAA/FINRA licenses (e.g., Series 7, Series 24, Series 14, Series 65)
• Experience working directly with Fintech platforms, Robo-Advisors, or AI-driven investment firms.
• Hands-on experience implementing or utilizing compliance automation, RegTech software, or AI-enhanced compliance tools.
• Professional compliance designations or a legal background

Benefits

Health & Insurance

• Medical insurance
• Dental insurance
• Vision insurance

Retirement

• 401(k) plan

Paid Time Off

• Paid vacation
• Paid sick leave
• Paid holidays

Professional Development

• Training and continuing education reimbursement
• Professional certification reimbursement
• Conference and industry event attendance

Additional Benefits

• Performance bonus

NextReg encourages all interested candidates to apply, even if you don't meet every qualification listed in the job description!