# Chief Compliance Officer at Compound

- Company: Compound
- What the company does: 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.
- Company website: https://withcompound.com/
- Type: Startups (AI role)
- Level: Principal and up
- Location: Remote
- Work setup: Remote
- Posted: 2026-06-08
- Apply by: 2026-10-12
- Apply: https://jobs.ashbyhq.com/compound/f988efb2-597d-4f11-b3ce-b769deef2367
- Page: https://www.1752.vc/careers/jobs/compound-chief-compliance-officer/

## 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

Tags: Compound Planning Wealth Management