Guerra Wealth Advisors ยท 22 hours ago
Compliance Officer/ Legal Council
Miami, FL
Full-time
Onsite
Mid, Senior Level
$90K/yr - $130K/yr
3+ years expGuerra Wealth Advisors is a boutique firm focused on redefining retirement planning and holistic wealth management. The Compliance Officer/ Legal Council will ensure the firm operates with integrity and full regulatory compliance, overseeing all compliance functions and managing regulatory relationships.
Financial Services
Responsibilities
Serve as the firm's Chief Compliance Officer (CCO) overseeing all RIA compliance functions
Develop, implement, and maintain comprehensive compliance policies and procedures
Prepare and file Form ADV updates, amendments, and required regulatory disclosures
Conduct annual compliance reviews, risk assessments, and policy effectiveness evaluations
Monitor advertising, marketing materials, and client communications for regulatory compliance
Review and approve client agreements, disclosures, and advisory documentation
Manage SEC, FINRA, and state regulatory examinations, audits, and inquiries
Provide ongoing compliance training and education to advisors and staff
Oversee trade surveillance, best execution reviews, and custody compliance
Investigate and remediate compliance incidents, errors, and client complaints
Maintain Books and Records in accordance with SEC and state requirements
Stay current on evolving regulations, industry best practices, and enforcement actions
Coordinate with outside counsel and compliance consultants as needed
Conduct due diligence on third-party vendors and service providers
Draft and maintain compliance manuals, procedures, and training materials
Qualification
Required
3+ years of RIA compliance experience or JD with securities/investment advisory focus
Series 65 or Series 66 required (or ability to obtain within 90 days)
Deep knowledge of Investment Advisers Act of 1940, SEC rules, and state regulations
Experience with Form ADV, custody rules, marketing compliance, and regulatory filings
Strong understanding of fiduciary duty, conflicts of interest, and ethical standards
Excellent analytical, research, and problem-solving abilities
Outstanding written and verbal communication skills
Ability to translate complex regulations into clear, actionable guidance
Detail-oriented with exceptional organizational and project management skills
Experience managing regulatory examinations and audits
Preferred
Juris Doctor (JD) degree is a strong plus
Previous CCO experience for an RIA is highly desirable
Benefits
Competitive base salary with annual performance reviews
401(k) with company match
Health insurance, Vision and Dental options
20+ combined PTO days (vacation, sick, floating holidays, paid holidays, birthday PTO)
Sponsored continuing legal education (CLE) and compliance certifications
Conference attendance and professional development opportunities
Access to personal financial planning services
Support for advanced designations and specialized training
Career growth as firm expands compliance infrastructure
Culture of continuous learning and regulatory excellence
Company
Guerra Wealth Advisors
Formerly known as Guerra Financial Group.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase