Senior Compliance Associate

4 hours ago

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Compound

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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

• Support and help evolve the firm’s compliance program, working closely with the General Counsel and senior compliance leadership. • Process regulatory filings and documentation, including Form ADV, Form CRS, U4/U5 updates, 13F, annual reviews, and other required submissions. • Monitor and summarize regulatory changes, surfacing updates and implications to internal stakeholders in a timely, practical way. • Help draft, update, and implement compliance policies and procedures, ensuring alignment with the Advisers Act, internal workflows, and industry standards. • Conduct routine testing and surveillance, including trade reviews, advertising/marketing oversight, and books-and-records checks. • Participate in client onboarding and offboarding compliance reviews, ensuring consistent application of regulatory requirements. • Own audit readiness, mock exams, SEC examination preparation, and ongoing compliance testing. • Coordinate firm wide compliance training, reinforcing expectations and raising awareness across teams. • Identify emerging compliance risks and work with cross-functional partners to develop practical mitigation strategies. • Support trading oversight, including trade reconciliation and best-execution processes. • Contribute to building a culture of compliance, where fiduciary responsibility and thoughtful decision-making guide how the business operates.

🎯 Requirements

• 3 - 7+ years of experience in compliance within SEC-registered investment advisers, wealth-management firms, or similar fiduciary environments. • Working knowledge of the Investment Advisers Act of 1940, Form ADV, Form CRS, U4/U5, the Custody Rule, Code of Ethics, and record keeping requirements. • Experience with trade oversight, including reconciliations, reviews, and documentation. • Familiarity with regulatory filings, such as 13F, or a strong willingness to learn quickly. • Strong organizational and communication skills, with the ability to collaborate across teams and explain compliance expectations clearly. • Detail-orientation with practical judgment, able to spot issues early and escalate appropriately. • Comfort operating in a fast-paced environment, where priorities shift and structure continues to mature. • Curiosity, humility, and ambition, with a desire to grow into a more senior compliance role over time.

🏖️ Benefits

• The opportunity to take on expanding responsibility as the compliance program grows. • Direct exposure to regulatory strategy, audits, examinations, and program development. • A front row seat in a high-growth advisory firm where your work genuinely shapes the firm’s risk posture and operational strength.