Chief Compliance Officer
OVERVIEW
Compound Planning is a high-growth digital family office with over $4B in AUM added since 2022. We serve entrepreneurs, professionals, and retirees through a powerful combination of personalized financial advisory and a proprietary technology platform. Our cross-functional team of advisors, tax experts, engineers, and operators is building the financial institution of the future, one grounded in rigor, client trust, and operational excellence.
We’re seeking a strategic, hands-on Chief Compliance Officer with deep experience in SEC-registered investment advisers and wealth management operations to lead and scale our compliance program and ensure the firm remains ahead of regulatory expectations as we grow. If you understand how wealth management is evolving and want to help shape what comes next, read on.
WHAT YOU WILL DO
- 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 ope...