Legal Counsel & Head of Compliance

Overview

Meet Guerra Wealth Advisors. At Guerra Wealth Advisors, we're on a mission to redefine retirement planning and elevate how families experience holistic wealth management. With over three decades of excellence serving clients in South Florida and nationwide, we've built a boutique firm that blends world-class financial expertise with a deeply personal touch. We educate, empower, and guide families toward financial confidence, prioritizing integrity and client protection.

If you're a legal professional or senior compliance leader who thrives on navigating complex regulations, advising executive leadership, and serving as the ethical backbone of a growing financial services firm, Guerra Wealth Advisors is calling your name. Protect what matters. Guide with integrity. Lead with compliance excellence.

Role:
Legal Counsel & Head of Compliance

• 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

• 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
• Prior experience serving as CCO, Deputy CCO, or in-house counsel for an RIA is strongly preferred

• Consistent, proactive regulatory compliance with no material examination deficiencies
• Clear legal and compliance guidance that supports firm growth while protecting clients
• Strong, trusted partnership with executive leadership and advisory teams
• Timely, accurate regulatory filings and documentation
• A firm-wide culture where compliance is understood, respected, and embedded into daily operations
• Professional, confident management of regulator and examiner relationships
• Scalable legal and compliance frameworks that support long-term growth

• Full-time role based in Miami, FL
• Standard business hours with flexibility during regulatory filings, examinations, and critical deadlines

$100,000–$130,000 Annually (Based on experience, credentials, and scope)

• Competitive base salary
• Performance-based bonus opportunities
• Growth potential as the firm expands legal and compliance infrastructure

• Competitive…