Guerra Wealth Advisors · 2 days ago
Meet Guerra Wealth AdvisorsLegal Counsel & Head of Compliance ($90,000 - $130,000 annually)
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. They are seeking a Legal Counsel & Head of Compliance to lead all legal and compliance efforts, serve as a strategic advisor to executive leadership, and ensure regulatory compliance and risk management within the firm.
Financial Services
Responsibilities
Serve as the firm’s General Counsel and Chief Compliance Officer (or equivalent) overseeing all legal and regulatory matters
Lead all RIA and Insurance Agency compliance functions, ensuring adherence to SEC, state, and insurance regulations
Advise executive leadership on legal, regulatory, and risk-related matters impacting firm strategy and operations
Draft, review, and negotiate client agreements, disclosures, contracts, vendor agreements, and internal policies
Develop, implement, and maintain comprehensive compliance policies, procedures, and internal controls
Prepare, file, and maintain Form ADV (Parts 1, 2A, 2B), amendments, and regulatory disclosures
Manage SEC, state, and insurance regulatory examinations, audits, inquiries, and deficiency responses
Oversee advertising, marketing, and public communications to ensure compliance with SEC marketing rules
Conduct annual compliance reviews, risk assessments, and testing of policy effectiveness
Monitor fiduciary obligations, conflicts of interest, custody rules, best execution, and books and records requirements
Investigate, document, and remediate compliance incidents, errors, and client complaints
Lead firm-wide compliance training and education for advisors, leadership, and staff
Coordinate with outside counsel, compliance consultants, and regulatory bodies as needed
Conduct legal and compliance due diligence on vendors, partners, and service providers
Stay current on evolving regulations, enforcement trends, and industry best practices
Qualification
Required
Juris Doctor (JD) from an accredited law school
3–7+ years of experience in securities law, investment advisory, financial services compliance, or related legal practice
Direct experience with RIA compliance under the Investment Advisers Act of 1940
Series 65 or Series 66 required (or ability to obtain within 90 days)
Strong working knowledge of SEC rules, state regulations, fiduciary standards, and insurance compliance
Experience managing regulatory examinations, audits, and regulator communications
Ability to translate complex legal and regulatory requirements into practical business guidance
Exceptional written, analytical, and verbal communication skills
High attention to detail with strong organizational and risk management capabilities
Preferred
Prior experience serving as CCO, Deputy CCO, or in-house counsel for an RIA is strongly preferred
Benefits
Competitive salary with annual performance reviews
401(k) with company match
Health, vision, and dental insurance options
20+ PTO days (vacation, sick, floating holidays, paid holidays, birthday PTO)
Sponsored CLE, compliance certifications, and continuing education
Conference attendance and professional development opportunities
Access to personal financial planning services
Support for advanced certifications and specialized training
Long-term career growth as the firm continues to scale
Culture of integrity, accountability, and continuous improvement
Company
Guerra Wealth Advisors
Formerly known as Guerra Financial Group.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase