Legal Counsel & Head of Compliance ($90,000 - $130,000) at Guerra Wealth Advisors

, Florida, United States -

Full Time

Start Date

Immediate

Expiry Date

22 May, 26

Salary

130000.0

Posted On

21 Feb, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Securities Law, Investment Advisory, Financial Services Compliance, Regulatory Guidance, Risk Management, RIA Compliance, Insurance Compliance, Contract Negotiation, Policy Development, Regulatory Examinations, SEC Marketing Rules, Fiduciary Obligations, Compliance Training, Legal Counsel, Chief Compliance Officer, Due Diligence

Industry

Financial Services

Description

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 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, protecting clients, and operating with uncompromising integrity. 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 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. 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. 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. Prior experience serving as CCO, Deputy CCO, or in-house counsel for an RIA is strongly preferred. What We Are Expecting 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. Schedule Full-time role based in Miami, FL. Standard business hours with flexibility during regulatory filings, examinations, and critical deadlines. Compensation $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 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 Guerra Wealth Advisors Core Values These values guide every decision we make: Always Be Learning – Growth is constant. Curiosity and improvement never stop. Your Words Matter – Clear, thoughtful communication builds trust. All for One, One for All – Collaboration over ego. Shared success. Take Ownership & Accountability – Own outcomes. Follow through. Do the Right Thing – Integrity above convenience, always. If you're ready to serve as the legal and ethical compass of a growing wealth management firm — protecting clients, guiding leadership, and leading compliance with confidence — apply today and help uphold the highest standards at Guerra Wealth Advisors.

Responsibilities

This role serves as the firm’s senior legal authority and regulatory guardian, leading all legal and compliance efforts, including overseeing RIA and insurance compliance, and advising executive leadership on regulatory matters. Key duties involve drafting agreements, developing compliance infrastructure, managing regulatory examinations, and ensuring adherence to SEC and state regulations.