Godsey & 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.
As 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 Responsibilities
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Support the CCO in researching and implementing new regulatory developments, new compliance technologies, and providing ongoing enhancement of the firm’s compliance program
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Oversee the books and records documentation, assisting with document maintenance, updates, and version control
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Conduct compliance testing, monitoring, and periodic risk assessments to identify, escalate, and remediate risks
Regulatory Filings, Audits, and Examinations
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Prepare regulatory filings, including state and advisor registrations, Form ADV brochures, Form CRS, Form 13F, and NPX
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Coordinate with internal teams to remediate compliance findings identified in internal reviews, audits, and examinations
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Perform thirdparty vendor due diligence reviews, including preparation and review of due diligence questionnaires
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Act as the compliance resource, providing timely and practical guidance on firm policies, licensing requirements, and daytoday compliance inquiries
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Assist in drafting, revising, and communicating compliance policies, training, and updating departmental processes
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Review compliance submissions, including personal securities transactions, rollover recommendations, marketing materials, vendor management items, and other approval requests
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Identify opportunities to streamline compliance workflows, redundancies, and improve documentation practices
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Review, approve, substantiate, and archive all marketing materials, presentations, website content, social media, and other client‑facing communications for consistency with regulatory requirements
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Verify that performance information, testimonials, endorsements, third‑party ratings, and other advertising content meet applicable standards and are appropriately substantiated
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Partner with marketing and advisory teams to provide guidance on compliant communication practices
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Bachelor’s degree in business or related field
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2+ years of experience in compliance within the wealth management or financial services industry preferred
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Familiarity with SEC regulations and the Investment Advisers Act of 1940
The 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.
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 by visiting godseyandgibb.com.
Work 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.
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Godsey & Gibb Wealth Management is a privately held firm with over 40 years of helping clients achieve long-term financial success. We're a collaborative, mission-driven team that puts clients first. Every role directly contributes the financial well-being of the individuals and families we serve. As our firm continues to grow, so do the opportunities for career advancement. We offer a supportive culture, opportunities for professional growth, and the change to work closely with experienced leaders. Join us and be part of a stable, growing firm where your contributions are valued and your career can thrive!
