Chief Compliance Officer

🕒 Junho 8

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Compound

SiteLinkedInTodas as Vagas

51 - 200 funcionários

💸 Finanças

💳 Fintech

💰 $25.000.000 Series B em 2022-01

Finance • Fintech

A Compound é uma empresa moderna de gestão de patrimônio que atende fundadores, proprietários de empresas, profissionais, aposentados e famílias, gerenciando mais de $2,5 bilhões em ativos e monitorando mais de $23 bilhões em ativos. A empresa oferece um serviço de gerenciamento financeiro abrangente que inclui gestão de investimentos, estratégia e declaração de impostos, consultoria de empréstimos e planejamento de aposentadoria e sucessão. A plataforma da Compound conta com ferramentas como colheita de prejuízo fiscal e reequilíbrio automático de portfólio, com oportunidades de investimento em imóveis, capital de risco e crédito fixo. A empresa atua como consultora de investimentos registrada na SEC e adere aos padrões fiduciários, oferecendo uma plataforma centralizada para gerenciar patrimônio líquido, fluxo de caixa, participação acionária em empresas e mais, integrando-se com uma ampla gama de provedores financeiros. A Compound se orgulha da vasta experiência de seus membros da equipe, que têm antecedentes nos maiores bancos, RIAs e escritórios de multi-family office, e foca em ajudar os clientes a tomarem melhores decisões financeiras enquanto agem em seus melhores interesses.

Descrição

• 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. • Oversee key RIA operational responsibilities, including trade reconciliation, trade reviews, best-execution oversight, and books-and-records controls. • 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.

🎯 Requisitos

• 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. • Strong analytical and operational judgment, with the ability to simplify ambiguity and implement practical, sustainable solutions.

🏖️ Benefícios

• Health insurance • Professional development opportunities