Director of Compliance

Waverly Advisors, LLC; Birmingham (AL); On-site; USD 140,000 - 190,000; Full time

Benefits offered by this job

Health benefits

401(k) with match

Paid holidays

Birthday day off

Flexible time off

Sabbatical

Competitive compensation

Job summary

Waverly Advisors, LLC in Birmingham, AL seeks a Director of Compliance to support the Chief Compliance Officer by administering and enhancing the firm's compliance program. The role involves daily compliance execution, monitoring, and leading a team while managing regulatory risk and maintaining a strong culture of compliance across the organization.

The ideal candidate has 7–10+ years of RIA or investment management compliance experience, strong knowledge of SEC regulations, and a JD is

Qualifications

• 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.
• Experience with compliance monitoring, testing, and operations.
• Leadership, organization, and analytical skills.

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 elevate to the CCO as needed.

Skills

RIA compliance

SEC regulations

Leadership

Regulatory risk

Monitoring

Education

J.D.

Job description

Waverly Advisors’ primary goal is to serve our clients, one another, and our communities. Wearen’tyour 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 byactually livingand acting on our guiding principle, ‘Serve.’ It is the reason we go to work every day.

In this role,you’llbe challenged to take on work that upholds our guiding principle and drives Waverly Advisors forward. We hopeyou’llgrow as a person and leader in your field and transform those around you as well.

We are looking to add aDirector of Complianceto our team inour Birminghamoffice.The Director of Compliance supports the Chief Compliance Officer (CCO) in administering and enhancing the firm’s compliance programin accordance withthe Investment Advisers Act of 1940, The Investment Company Act of 1940, and other rules and regulations, as applicable. This roleis responsible forday-to-day compliance execution, monitoring, and team leadership, while helping the CCO manage regulatory risk andmaintaina 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 elevate to the CCO as needed.

Qualifications and Experience:

• 7–10+ years of RIA or investment management compliance experience.
• Strong knowledge of SEC regulations, primarily theInvestment 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.

Travel:

• Occasionaltravel isrequired.

Physical Requirements:

• 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.

Benefits:

• Comprehensive Health, Dental, and Vision coverage to support your overallwell‑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 cancelebrateyou!
• Responsible Time Off Policygivingflexibility 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.
• Compensationcommensuratewith experience.

Legal:

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.