Level Financial Advisors has named Bethany Wagner its Chief Compliance and Cybersecurity Officer, effective January 1, 2024.
Wagner joined the firm in 2013 as a part-time associate and was promoted to Administrative Assistant the following year. In 2017 she was promoted to Technology Specialist where she oversaw the firm’s information technology platforms, managed client quarterly reporting systems, and coordinated the firm’s formal review process for client meetings. She most recently served as the firm’s Assistant Compliance Officer.
Last year, Wagner completed the course work and experience requirements for the Investment Adviser Certified Compliance Professional® (IACCP®) program.
In her new role, Wagner will be responsible for overseeing the firm’s compliance programs, technology platforms and cybersecurity efforts, and function as the company’s chief liaison with the U.S. Securities and Exchange Commission. She will report to the firm’s Chief Operating Officer Michael Heburn, who previously served as the firm’s CCO in a dual role.
“I’m proud of the hard work and effort Bethany has put in to achieve this difficult designation,” Heburn said. “Bethany joined the company at the ground level and has continued to work her way up the ladder to become a trusted member of our management team.”
Heburn said the appointment of Wagner will allow the firm to sharpen its focus on protecting clients and continue to meet the rigorous standards of today’s regulatory environment.
Wagner graduated in 2009 from Buffalo State College with a bachelor’s degree in psychology.
The IACCP® certification, widely considered the most rigorous compliance certification in the industry, requires the completion of nineteen courses, two years of related compliance work, and passing a lengthy certification examination. Those certified are further required to complete twelve hours of continuing education each year.
Level manages $598 million in assets for six hundred clients across thirty-two states. The locally owned firm was founded in 1979 and recently moved its headquarters to Transit Road in East Amherst. The company operates a satellite office in Hamburg.