Overview
Compliance Attorney Jobs in Pensacola, FL at SWAN Capital
Compliance Attorney
SWAN Capital is an independent, fee-based registered investment advisory firm on the Gulf Coast, seeking a Compliance Attorney to help lead and grow our firmwide compliance program. This is a rare opportunity for a newer attorney to step into real ownership early, applying legal training directly to the financial services industry rather than following a traditional practice track. You’ll begin with meaningful responsibility and a clear path to grow into the firm’s Chief Compliance Officer over time, working alongside seasoned financial-industry professionals and a dedicated estate planning attorney based in our office. It’s well suited to a recent law graduate or early-career attorney with an interest in financial regulation and securities law.
What You’ll Do
- Help develop, implement, and maintain the firm’s compliance program, policies, and procedures.
- Monitor and interpret regulatory changes across the SEC, FINRA, and related bodies, and help keep our practices current.
- Support regular compliance audits and risk assessments to identify and address areas of vulnerability.
- Provide clear guidance and training to team members on compliance-related matters.
- Serve as a liaison with regulatory bodies and help respond to inquiries and examinations.
- Investigate and help resolve compliance questions and issues as they arise.
- Prepare and present compliance updates to senior leadership.
- Collaborate across departments so compliance is woven into how the whole firm operates.
What We’re Looking For
- Juris Doctorate (JD) required.
- Admitted to a bar within a U.S. jurisdiction.
- A foundational understanding of, or genuine interest in, financial regulation (SEC, FINRA, and related bodies).
- Strong analytical and problem-solving ability, with real attention to detail.
- Clear, thoughtful written and interpersonal communication.
- Ability to work independently and make sound, well-reasoned decisions.
- Prior compliance experience is a plus but not required.
- Professional certifications such as IACCP, CRCM, or CAMS are welcome and can be earned on the job — none is required to apply.
Compensation & Benefits
- Salary range: $70,000–$90,000, commensurate with experience and credentials.
- Comprehensive benefits package.
- Employer support for professional development and certification.
- A collaborative, principled, and supportive team environment with a genuine path for growth into the Chief Compliance Officer role.
About SWAN Capital
SWAN Capital helps individuals and families move into and through retirement with clarity, confidence, and peace of mind, from our offices in Pensacola, Florida and Daphne, Alabama. Our name says it plainly: SWAN stands for Sleep Well At Night, and everything we build is in service of that outcome. Guided by our core values — Peace of Mind, Servanthood, Growth, Innovation, and Attentiveness — we treat every detail as worth getting right. If you care about doing careful, principled work alongside people who feel the same way, you’ll feel at home here.
Job Type: Full-time
Pay: From $70,000 per year
Work Location: In person, Pensacola, FL
Pay: $70,000.00 – $90,000.00 per year
Benefits:
- 401(k) matching
- Dental insurance
- Health insurance
- Paid time off
- Professional development assistance
- Vision insurance
Application Question(s):
- Are you admitted to a bar in a U.S. jurisdiction, or will you be admitted before your start date?
Education:
- Doctorate (Required)
Location:
- Pensacola, FL 32502 (Required)
Work Location: In person
Title: Compliance Attorney
Company: SWAN Capital
Location: Pensacola, FL
Category:
