Compound Planning, Inc. - Chief Compliance Officer
Requirements
• Extensive compliance leadership experience within SEC registered investment advisers, multi-family offices, wealth management firms, or similar fiduciary environments. • Deep command of the Investment Advisers Act of 1940, including Form ADV, Form CRS, U4/U5 filings, Advisory Agreements, the Custody Rule, Code of Ethics, and Reg S-ID. • Hands-on experience with 13F filings, trade oversight, surveillance, mock audits, annual reviews, and SEC examinations. • Proven success scaling or professionalizing a compliance program in a growing RIA or advisory business. • Exceptional communication and leadership skills - able to educate the business, advise executives, and influence without drama. • Strong analytical and operational judgment, with the ability to simplify ambiguity and implement practical, sustainable solutions. • Comfort in a fast-paced environment, where priorities shift and standards stay high. • A steady, principled decision maker who balances innovation with regulatory expectations and honors the fiduciary duty at the core of the profession. • WHAT IT’S LIKE TO WORK AT COMPOUND • We operate with integrity, communicate with transparency, and take accountability seriously. You’ll work alongside high performing colleagues across advisory, engineering, tax, and operations - people who hold themselves, and each other, to a high standard. • Compound is built for people who want to move quickly, build something enduring, and collaborate with a team aligned around a shared mission. • An $84 trillion wealth transfer is reshaping the financial landscape. Compound is building the financial institution designed for that future and our Chief Compliance Officer will play a critical role in shaping how we get there.
Responsibilities
• Own and lead the entire compliance program, partnering with the General Counsel and external resources to maintain a proactive, best-in-class regulatory framework. • Establish and maintain a proactive regulatory framework rooted in industry best practices for RIAs and wealth management firms. • Reduce consultant dependence by building durable in-house expertise and scalable processes. • Monitor, analyze, and interpret regulatory developments - from rule updates to exam priorities - and deliver clear guidance to internal stakeholders. • Prepare, file, and maintain all regulatory documentation, including Form ADV, Form CRS, U4/U5 filings, 13F, annual reviews, and other required submissions. • Draft, refine, and enforce compliance policies and procedures aligned with the Advisers Act, operational workflows, and real-world risk. • Conduct firm wide compliance training, ensuring teams understand expectations and stay aligned with regulatory obligations. • Identify, assess, and mitigate compliance risks across advisory operations, trading, client service, marketing, and cybersecurity touchpoints. • Lead regulatory readiness, including mock audits, testing, annual reviews, and coordination of SEC examinations. • Manage compliance aspects of client onboarding and offboarding, ensuring consistent adherence to regulatory requirements. • Champion a culture of compliance, embedding it into decision making and day-to-day processes as the firm scales.
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