Compound

1 month ago

Chief Compliance Officer

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 4 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: 1.5

Website LinkedIn Glassdoor

Loading job details...

Preparing the role view and application actions.

Compound

1 month ago

Chief Compliance Officer

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 4 hours agoStatus: Live

Job Summary

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

Industry: Wealth Management

Company Size: Medium (51 to 250 employees)

Growth: Growth Stage Startup

Headquarters: New York, United States

Founded: 2022

Glassdoor: 1.5

Website LinkedIn Glassdoor