Director of Compliance
Waverly Advisors, LLC•Birmingham, AL
•Onsite
About The Position
Waverly Advisors is seeking a Director of Compliance to join their team in Birmingham. This role supports the Chief Compliance Officer (CCO) in administering and enhancing the firm’s compliance program, ensuring adherence to the Investment Advisers Act of 1940, The Investment Company Act of 1940, and other relevant regulations. The position involves day-to-day compliance execution, monitoring, and team leadership, with a focus on managing regulatory risk and fostering a strong compliance culture.
Requirements
- 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.
- Experience with compliance monitoring, testing, and operations.
- Leadership, organization, and analytical skills.
Nice To Haves
- J.D., preferred.
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.
Benefits
- Comprehensive Health, Dental, and Vision coverage
- 401(k) retirement plan with match and profit sharing
- Twelve paid holidays each year
- An extra vacation day during your birthday week
- Responsible Time Off Policy
- Paid sabbatical program (four consecutive weeks after seven years of service)
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What This Job Offers
Job Type
Full-time
Career Level
Director
Education Level
No Education Listed
