Director of Compliance
Birmingham, AL On-site
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About the role
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.
What you'll bring
- 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.
- J.D., preferred.