Legal Counsel & Head of Compliance

Guerra Wealth Advisors

21h•$100,000 - $130,000•Onsite

About The Position

The Legal Counsel / General Counsel & Head of Compliance serves as the firm’s senior legal authority and regulatory guardian, leading all legal and compliance efforts across Guerra Wealth Advisors. This individual acts as a strategic advisor to executive leadership while ensuring the firm operates with full regulatory compliance, risk discipline, and fiduciary excellence. This role is ideal for an attorney with securities, investment advisory, or financial services experience who also brings hands-on compliance leadership. You will oversee RIA and insurance compliance, manage regulatory relationships, advise on legal risk, and build scalable compliance infrastructure to support firm growth. You are not just enforcing rules — you are shaping a culture of ethical decision-making and protecting the long-term future of the firm.

Requirements

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.

Nice To Haves

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

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.