Senior Director of Compliance & Regulatory Risk

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, 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