Compliance Officer/ Legal Council

Guerra Wealth Advisors

7h•$90,000 - $130,000•Onsite

About The Position

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 don't just advise — we educate, empower, and guide families toward financial confidence. Behind every successful advisory relationship is a commitment to doing things the right way, and that's where you come in. If you're a compliance professional or attorney who thrives on protecting clients and firms alike, loves navigating complex regulations with precision, and wants to be the guardian of integrity for a growing wealth management firm, Guerra Wealth Advisors is calling your name. "Protect what matters. Guide with integrity. Lead with compliance excellence." Role: The Compliance Officer/ Legal Council is the regulatory guardian and strategic partner ensuring Guerra Wealth Advisors operates with unwavering integrity and full regulatory compliance. You'll oversee all compliance functions for our RIA, manage regulatory relationships, and create a culture of ethical excellence across the firm. This role is perfect for someone with 3–5 years of compliance experience in the financial services industry (or an attorney with securities/investment advisory background), strong regulatory knowledge, and the ability to translate complex rules into practical guidance. You'll work directly with leadership and advisors to mitigate risk, maintain our stellar reputation, and ensure clients are always protected.

Requirements

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.

Nice To Haves

Juris Doctor (JD) degree is a strong plus.
Previous CCO experience for an RIA is highly desirable.

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.

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