Chief Compliance Officer

Compound
United States
Workplace: RemoteFull timeFunction: Legal, Risk & ComplianceSkills: []

Lead and scale a proactive, in-house compliance program for a fast-growing SEC-registered wealth management firm. Own all regulatory processes (Form ADV/CRS, U4/U5, 13F), governance, training, audits, and books-and-records; partner with GC to ensure fiduciary duty and regulatory readiness while reducing consultant dependence.

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FursaFursa
Compound
Compound
2 months ago

Chief Compliance Officer

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Last checked: 19 hours agoStatus: Live

Job Summary

Lead and scale a proactive, in-house compliance program for a fast-growing SEC-registered wealth management firm. Own all regulatory processes (Form ADV/CRS, U4/U5, 13F), governance, training, audits, and books-and-records; partner with GC to ensure fiduciary duty and regulatory readiness while reducing consultant dependence.
Location: United States
Workplace: Remote
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: CXO level

Key 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 regulatory framework for RIAs and wealth management firms, rooted in industry best practices.
  • •Reduce consultant dependence by building in-house expertise and scalable processes.
  • •Monitor, analyze, and interpret regulatory developments and deliver clear guidance to internal stakeholders.
  • •Prepare, file, and maintain all regulatory documentation (Form ADV, Form CRS, U4/U5, 13F, annual reviews, etc.).

Key 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.
Experience:Wealth managementSEC registered investment advisersFinancial services
Languages:English

Company Brief

Compound
Compound Planning is a tech-enabled digital family office and wealth manager providing investment management, tax and estate planning, and advisor-facing technology to high-net-worth clients and financial advisors.
Industry: Wealth Management
Company Size: Medium (51 to 250 employees)
Growth: Growth Stage Startup
Headquarters: New York, United States
Founded: 2022
Glassdoor
Glassdoor: 1.5
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