Compound · 1 month ago
Chief Compliance Officer
United States
Full-time
Remote
Director/ExecutiveCompound Planning is a high-growth digital family office with over $4B in AUM added since 2022. They are seeking a strategic, hands-on Chief Compliance Officer to lead and scale their compliance program, ensuring the firm remains ahead of regulatory expectations as it grows.
AdviceAsset ManagementFinancial ServicesTax ConsultingWealth Management
Responsibilities
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
Qualification
Required
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
Exceptional communication and leadership skills - able to educate the business, advise executives, and influence without drama
Strong analytical and operational judgment, with the ability to simplify ambiguity and implement practical, sustainable solutions
Comfort in a fast-paced environment, where priorities shift and standards stay high
A steady, principled decision maker who balances innovation with regulatory expectations and honors the fiduciary duty at the core of the profession
Company
Compound
Compound Planning is your digital family office — a single place to manage your taxes, investments, borrowing and more.
Founded in 2022
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Alex Farman- Farmaian
Co-Founder & Co-CEO
Christian Haigh
Executive Chairman
Recent News
2025-08-19
2025-08-13
Company data provided by crunchbase