Regulatory Compliance Manager - Wealth Management

Firm OverviewGodsey & Gibb Wealth Management is a rapidly growing SEC-Registered Investment Advisor (RIA) overseeing approximately $1.6 billion in assets under management. As a second generation, family-led firm, we are committed to building trusted relationships, delivering high-touch wealth management services, and helping our clients plan for their long-term goals.About the RoleAs the Compliance Specialist, you’ll support the Chief Compliance Officer (CCO) in administering the firm’s investment advisor compliance program, serving as the compliance resource for advisors and staff and ensuring the firm continues to meet SEC regulatory requirements. This is a strong opportunity for a proactive, organized, detail-oriented candidate interested in building a long-term career in compliance and growing into a leadership role. This is a hybrid position based in Richmond, VA and reports to the CCO.Key ResponsibilitiesCompliance Program AdministrationSupport the CCO in researching and implementing new regulatory developments, new compliance technologies, and providing ongoing enhancement of the firm’s compliance programOversee the books and records documentation, assisting with document maintenance, updates, and version controlConduct compliance testing, monitoring, and periodic risk assessments to identify, escalate, and remediate risksRegulatory Filings, Audits, and ExaminationsPrepare regulatory filings, including state and advisor registrations, Form ADV brochures, Form CRS, Form 13F, and N-PXCoordinate with internal teams to remediate compliance findings identified in internal reviews, audits, and examinationsPerform third-party vendor due diligence reviews, including preparation and review of due diligence questionnairesTraining & SupportAct as the compliance resource, providing timely and practical guidance on firm policies, licensing requirements, and day-to-day compliance inquiriesAssist in drafting, revising, and communicating compliance policies, training, and updating departmental processesReview compliance submissions, including personal securities transactions, rollover recommendations, marketing materials, vendor management items, and other approval requestsIdentify opportunities to streamline compliance workflows, redundancies, and improve documentation practicesMarketing & Communications ReviewReview, approve, substantiate, and archive all marketing materials, presentations, website content, social media, and other client‑facing communications for consistency with regulatory requirementsVerify that performance information, testimonials, endorsements, third‑party ratings, and other advertising content meet applicable standards and are appropriately substantiatedPartner with marketing and advisory teams to provide guidance on compliant communication practicesQualificationsBachelor’s degree in business or related field2+ years of experience in compliance within the wealth management or financial services industry preferredFamiliarity with SEC regulations and the Investment Advisers Act of 1940Compensation & BenefitsThe expected base salary range for this position in Richmond, VA is between $60,000 to $75,000 USD annually. This reflects the annual base salary range that GGWM reasonably expects to pay for this position based on a number of factors, which may include relevant job knowledge, skill sets, education, experience, and actual work location of the individual selected for this role. Additionally, Godsey & Gibb Wealth Management offers a comprehensive benefits package and discretionary bonus program for eligible roles, paid time off, comprehensive medical, dental, and vision insurance, 401(k) profit sharing with company match, life insurance, education and professional development assistance, health and fitness program, and much more.Why Join GGWM?At Godsey & Gibb Wealth Management, you’ll join a growing, relationship-driven wealth management firm with more than 40 years of experience, based in Richmond, VA and serving clients nationwide. We are a second-generation, family-led firm that values trust, teamwork, professional development, and exceptional client service. If you enjoy meaningful work, collaboration, and the opportunity to grow with a firm, GGWM offers a strong environment to build a long-term career.Learn more about us:Explore CareersMeet our Leadership TeamLearn About Our ServicesVisit Our WebsiteAdditional InformationWork Authorization: Applicants must be legally authorized to work in the United States without the need for current or future employer-sponsored work authorization (e.g., H-1B). Recruiting Agencies: Godsey & Gibb Wealth Management does not accept any unsolicited resumes from third-party recruiters or agencies. Interested applicants are encouraged to apply online at jobs.appone.com/godseyandgibb.