Director of Compliance

The role

The Director of Compliance supports the Chief Compliance Officer in administering and enhancing the firm's compliance program. This role involves day-to-day compliance execution, monitoring, and team leadership to manage regulatory risk.

What you will do

• 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.

Required 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
• Strong knowledge of private funds
• Experience with compliance monitoring, testing, and operations
• Leadership, organization, and analytical skills
• 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

Nice to have

• J.D.

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 giving flexibility without annual PTO limits
• Paid sabbatical program: four consecutive weeks of paid time off after seven years of service

About the company

Waverly Advisors' primary goal is to serve clients, one another, and communities. They are a wealth management firm with an intense client focus.