Compound offers a personalized wealth management experience for entrepreneurs, professionals, and retirees powered by a world-class team and modern technology. Backed by Y Combinator, a16z and South Park Commons.
About the role
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.
What they're looking for
- 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
More about this role
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.
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...
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