What are the responsibilities and job description for the Director of Compliance position at Waverly Advisors, LLC?
Waverly Advisors’ primary goal is to serve our clients, one another, and our communities. We aren’t your typical wealth management firm. Our intense client focus is at the center of everything we do. We go far beyond just managing our clients’ investments, offering truly in-depth financial planning. We set ourselves apart by actually living and acting on our guiding principle, ‘Serve.’ It is the reason we go to work every day.
In this role, you’ll be challenged to take on work that upholds our guiding principle and drives Waverly Advisors forward. We hope you’ll grow as a person and leader in your field and transform those around you as well.
We are looking to add a Director of Compliance to our team in our Birmingham office. The Director of Compliance supports the Chief Compliance Officer (CCO) in administering and enhancing the firm’s compliance program in accordance with the Investment Advisers Act of 1940, The Investment Company Act of 1940, and other rules and regulations, as applicable. This role is responsible for day-to-day compliance execution, monitoring, and team leadership, while helping the CCO manage regulatory risk and maintain a strong culture of compliance across the organization.
Responsibilities
Waverly Advisors, LLC is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, creed, religion, sex, gender, genetic information, national origin, disability, uniform service, veteran status, age, or any other classification protected by federal, state, or local law.
In this role, you’ll be challenged to take on work that upholds our guiding principle and drives Waverly Advisors forward. We hope you’ll grow as a person and leader in your field and transform those around you as well.
We are looking to add a Director of Compliance to our team in our Birmingham office. The Director of Compliance supports the Chief Compliance Officer (CCO) in administering and enhancing the firm’s compliance program in accordance with the Investment Advisers Act of 1940, The Investment Company Act of 1940, and other rules and regulations, as applicable. This role is responsible for day-to-day compliance execution, monitoring, and team leadership, while helping the CCO manage regulatory risk and maintain a strong culture of compliance across the organization.
Responsibilities
- Oversee daily execution of the compliance program, policies, and procedures.
- Lead compliance testing and monitoring.
- Support regulatory filings and assist with SEC exams.
- Manage and mentor compliance staff; oversee workflow and priorities.
- Track regulatory changes and recommend updates.
- Assist with annual compliance review and risk assessment.
- Investigate compliance issues and escalate to the CCO as needed.
- 7–10 years of RIA or investment management compliance experience.
- Strong knowledge of SEC regulations, primarily the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
- Strong knowledge of private funds.
- J.D., preferred.
- Experience with compliance monitoring, testing, and operations.
- Leadership, organization, and analytical skills.
- Occasional travel is required.
- Prolonged periods of sitting at a desk and working on a computer.
- Must be able to lift 15 pounds at times.
- Must be able to access and navigate each department at the organization’s facilities.
- Comprehensive Health, Dental, and Vision coverage to support your overall well‑being.
- 401(k) retirement plan with match and profit sharing to help you invest in your future.
- Twelve paid holidays each year.
- An extra vacation day during your birthday week—so you can celebrate you!
- Responsible Time Off Policy giving flexibility without annual PTO limits, while balancing team responsibilities and business needs.
- Paid sabbatical program: Enjoy four consecutive weeks of paid time off after seven years of service.
- Compensation commensurate with experience.
Waverly Advisors, LLC is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, creed, religion, sex, gender, genetic information, national origin, disability, uniform service, veteran status, age, or any other classification protected by federal, state, or local law.