Chief Compliance Officer

Job not on LinkedIn

November 26

Apply Now

Receive Emails with Similar Jobs

Compound

WebsiteLinkedInAll Job Openings

Finance • Fintech

Compound is a modern wealth management firm that serves founders, business owners, professionals, retirees, and families, managing over $2. 5 billion in assets and tracking over $23 billion in assets. The company provides a comprehensive financial management service that includes investment management, tax strategy and filing, borrowing consultation, and retirement and estate planning. Compound's platform features tools like tax-loss harvesting and automatic portfolio rebalancing with investment opportunities across real estate, venture capital, and fixed credit. The firm operates as an SEC-registered investment adviser and adheres to fiduciary standards, offering a centralized platform for managing net worth, cash flow, company equity, and more, integrating with a wide range of financial providers. Compound prides itself on the extensive experience of its team members, who have backgrounds in the largest banks, RIAs, and multi-family offices, and focuses on helping clients make better financial decisions while acting in their best interests.

51 - 200 employees

💸 Finance

💳 Fintech

💰 $25M Series B on 2022-01

📋 Description

• Own and lead the compliance program end-to-end, partnering with the General Counsel and external resources to maintain a proactive, best-in-class regulatory framework. • Operate with independence and confidence, reducing reliance on consultants while protecting the company from compliance and operational risks. • Track, analyze, and interpret regulatory changes, communicating guidance and implications to internal stakeholders in real time. • Prepare, file, and maintain all regulatory documents, including Form ADV, Form CRS, U4/U5 filings, 13F, and additional required submissions. • Draft, refine, and implement compliance policies and procedures that reflect current regulation, industry standards, and internal operational realities. • Conduct ongoing training and education to strengthen compliance awareness and expectations across teams. • Identify, assess, and mitigate compliance risks, integrating risk management into business processes, cybersecurity, and client operations. • Lead compliance onboarding and offboarding for clients, ensuring consistent adherence to regulatory requirements. • Oversee trade reconciliation, trade reviews, and related supervisory responsibilities. • Prepare for and manage mock audits, regulatory exams, and ongoing testing. • Champion a culture of compliance, ensuring it remains a core pillar of how we operate as we scale.

🎯 Requirements

• Extensive compliance experience within SEC-registered investment advisers and/or FinTech environments. • Deep knowledge of the Investment Advisers Act of 1940, SEC rules, Form ADV, Form CRS, U4/U5, Advisory Agreements, the Custody Rule, and Reg S-ID. • Direct experience with 13F filings, trade reconciliation and reviews, mock audits, and SEC examinations. • Experience supporting or scaling compliance programs in high-growth or technology-forward organizations. • Strong communication, interpersonal, and leadership skills—able to guide senior management and collaborate cross-functionally. • Demonstrated ability to problem-solve in ambiguous environments and convert complexity into structured, actionable steps. • Comfortable working in a fast-paced, startup environment, where no two days look the same and the bar stays high. • A steady hand, sound judgment, and the ability to balance innovation with regulatory expectations.

🏖️ Benefits

• Health insurance • 401(k) matching • Flexible work hours • Paid time off • Professional development opportunities