Company Description NextReg is building the regulatory infrastructure layer for the next generation of financial services, enabling RIAs, broker-dealers, and fintechs to build, operate, and scale investment products with embedded compliance. The company combines career Chief Compliance Officers from leading financial institutions with AI-native technology to automate and execute regulatory operations at scale. Through a single platform, NextReg handles registration, licensing, policies, filings, testing, monitoring, marketing review, regulatory change, examinations, governance, and ongoing CCO oversight.
Its model centers on AI-powered CCOs, a regulatory operations system, and an API regulatory host that together turn compliance into core business infrastructure. Today, NextReg supports over 75 financial institutions with more than $20B in assets under management, ranging from emerging fintechs and digital advisers to established investment firms.
Role Description The Compliance Analyst (RIA) role is a full-time, remote position. This role focuses on supporting regulatory compliance programs for registered investment advisers by monitoring policies, procedures, and controls to ensure adherence to applicable rules and regulations. Day-to-day responsibilities include assisting with registration and licensing activities, reviewing marketing and client communications for regulatory alignment, and supporting periodic testing, audits, and surveillance of compliance processes.
The Compliance
Analyst will research regulatory developments, help maintain documentation for examinations and filings, and collaborate with senior compliance professionals to identify and remediate potential issues. This position involves working closely with internal teams and clients to provide clear, practical guidance and to contribute to continuous improvement of NextReg’s regulatory operations platform.
Qualifications
Candidates should possess strong Regulatory Compliance knowledge, particularly related to RIAs and securities laws, including familiarity with SEC and state regulations.
Candidates should possess solid Analytical Skills to review data, identify patterns or issues, perform risk assessments, and support testing and monitoring activities.
Candidates should possess effective Communication skills for drafting clear compliance documentation, reviewing marketing materials, and collaborating with internal and external stakeholders.
Candidates should possess a foundational understanding of Finance, investment products, and advisory business models to contextualize regulatory requirements.
Candidates should possess Auditing and monitoring skills to assist with periodic reviews, internal controls assessments, and preparation for regulatory examinations.
Bachelor’s degree in finance, economics, business, law, or a related field; relevant certifications (e.g., IACCP, CFA, CPA, or securities licenses) are a plus.
Experience working in a compliance, risk, or regulatory role within an RIA, broker-dealer, or fintech environment is preferred.
Ability to work on-site in Miami, FL, manage multiple priorities, maintain confidentiality, and use technology tools and data systems