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Regulatory Compliance Specialist Financial Law

Chief Legal & Compliance Officer – Financial Services

Job in Miami, Miami-Dade County, Florida, 33222, USA
Listing for: Guerra Wealth Advisors
Full Time position
Listed on 2026-01-29
Job specializations:
  • Law/Legal
    Regulatory Compliance Specialist, Financial Law
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 100000 - 130000 USD Yearly USD 100000.00 130000.00 YEAR
Job Description & How to Apply Below
A wealth management firm is seeking a Legal Counsel & Head of Compliance to manage all legal and regulatory matters. This role requires an attorney with 3-7+ years in financial services, focusing on compliance with SEC and state regulations. Responsibilities include leading compliance functions, advising on legal risks, and developing comprehensive compliance policies. The position is based in Miami, FL, offering a competitive salary of $100,000-$130,000 and benefits including 401(k) matching and annual performance reviews.
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