At a Glance
- Tasks: Lead compliance efforts and ensure adherence to regulations while mentoring a dynamic team.
- Company: Waverly Advisors, a unique wealth management firm focused on serving clients and communities.
- Benefits: Comprehensive health coverage, 401(k) match, flexible time off, and a birthday vacation day.
- Other info: Enjoy a paid sabbatical after seven years and a culture that values your growth.
- Why this job: Make a real impact in compliance while growing as a leader in a supportive environment.
- Qualifications: 7-10+ years of compliance experience with strong knowledge of SEC regulations.
The predicted salary is between 90000 - 110000 £ per year.
Waverly Advisors’ primary goal is to serve our clients, one another, and our communities.
We aren’t your 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 by actually living and acting on our guiding principle, ‘Serve.’ It is the reason we go to work every day.
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.
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.
Qualifications and Experience
- 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.
- J. D., preferred.
- Experience with compliance monitoring, testing, and operations.
- Leadership, organization, and analytical skills.
Travel
- Occasional travel is required.
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 overall well‑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 can celebrate you!
- Responsible Time Off Policy giving flexibility 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.
- Compensation commensurate with 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.
Director of Compliance in Birmingham employer: Waverly Advisors
Waverly Advisors is an exceptional employer that prioritises the growth and well-being of its employees while maintaining a strong commitment to client service and community engagement. With a culture centred around collaboration and support, employees benefit from comprehensive health coverage, a generous retirement plan, and a unique Responsible Time Off Policy that promotes work-life balance. The opportunity for professional development and meaningful contributions in a dynamic environment makes Waverly Advisors a rewarding place to advance your career as a Business Development Officer.
StudySmarter Expert Advice🤫
We think this is how you could land Director of Compliance in Birmingham
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Waverly Advisors looking for candidates who are engaged and informed.
We think you need these skills to ace Director of Compliance in Birmingham
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Waverly Advisors. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Waverly Advisors
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Waverly Advisors’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
