Job Details
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 an experienced Compliance Manager to our team, ideally working in our Birmingham, AL headquarters. The Compliance Manager will work with our Chief Compliance Officer (CCO) and Compliance team to ensure that Waverly operates in accordance with legal and regulatory requirements, as well as internal processes and procedures. The Compliance Manager will work closely with the CCO to develop and implement effective compliance policies and procedures, conduct regular audits and risk assessments, and provide training and support to staff on compliance matters. A successful candidate will be able to effectively communicate with internal team members and have excellent attention to detail, a positive mindset, and a willingness to learn. Resiliency, flexibility, and the ability to anticipate needs are necessary in all tasks and responsibilities.
Responsibilities:
- Maintain and enhance the compliance framework within Waverly in conjunction with the CCO.
- Work with the CCO to complete timely SEC compliance filings and reporting (Form ADV, Form PF, etc.)
- Assist the CCO in interpreting and implementing all relevant regulatory requirements.
- Provide guidance and training to employees on compliance matters.
- Maintain accurate records and documentation related to compliance activities.
- Prepare timely and detailed reports for the CCO.
- Collaborate with the CCO in the development of compliance policies and procedures.
- Implement compliance policies and procedures and identify opportunities for compliance related process and policy improvements.
- Support the CCO in efforts to assess and manage compliance-related risks.
- Participate in risk assessments, vendor due diligence, and implement risk mitigation measures.
- Work with the Waverly Integration Team on acquisition efforts including due diligence and new employee training.
- Conduct regular assessments and audits to ensure ongoing adherence to compliance standards.
- Maintain and execute the compliance calendar.
- Stay informed of changing regulations that impact our business.
Travel:
Some travel is required.
Our Ideal Candidate Will:
- Have a minimum of 5 years of experience in a compliance role within an RIA or financial services firm.
- In-depth knowledge of SEC regulations, state regulations, and industry best practices.
- Have experience working in Portfolio Management Software, preferably Orion.
- Bachelor s degree in Finance, Business, Law, or a related field.
- Understand Microsoft Office Suite and be willing to learn and quickly grasp firm technologies.
- Be a detail-oriented self-starter who is motivated by serving others and completing tasks efficiently and with excellence.
- Possess excellent communication and organizational skills and have a willingness to learn.
- Proactively initiate action and anticipate the needs of those the role supports.
- Exhibit strong initiative and a team player mentality.
- Have a can-do attitude where no task is too big or small.
- Read and connect with people and respond accordingly in varying situations.
- Adapt to changing priorities and conditions while maintaining a positive attitude and achieving performance standards.
- Exercise independent time management skills with the ability to structure responsibilities, tasks, and project management while prioritizing and ensuring deadlines are met.
- Handle confidential and sensitive information with discretion and professionalism.
Physical Requirements:
- Prolonged periods of sitting at a desk and working on a computer.
Benefits:
- Health, Dental, and Vision benefit options.
- 401K.
- Nine paid holiday days per year, plus two floating holidays.
- Extra vacation day on your birthday week.
- Three weeks of PTO, increasing to four weeks after three years of service, and five weeks after eight years of service.
- Four weeks paid sabbatical program after seven consecutive years of service, maximum of two sabbaticals while employed with us.
- 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.