Chief Compliance Officer

🕒 June 8

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Compound

WebsiteLinkedInAll Job Openings

51 - 200 employees

💸 Finance

💳 Fintech

💰 $25M Series B on 2022-01

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.

📋 Description

• 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.

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

🏖️ Benefits

• Health insurance • Professional development opportunities