首席合规官
Chief Compliance Officer
概述
Compound Planning 是一家高增长的数字家族办公室，自 2022 年以来管理资产规模已超过 40 亿美元。我们通过个性化的财务咨询和专有技术平台，为企业家、专业人士和退休人员提供服务。由顾问、税务专家、工程师和运营人员组成的跨职能团队正在打造未来的金融机构，其基础是严谨性、客户信任和运营卓越。
我们正在寻找一位具有 SEC 注册投资顾问和财富管理运营丰富经验的战略型、亲力亲为的首席合规官，负责领导和扩展我们的合规计划，确保公司在成长过程中始终走在监管期望的前面。如果你了解财富管理的演变，并希望参与塑造未来，那么请继续阅读。
你将负责
- 负责并领导整个合规计划，与总法律顾问和外部资源合作，保持积极、行业领先的监管框架。
- 建立并维护以行业最佳实践为基础的主动监管框架，适用于独立投资顾问（RIA）和财富管理公司。
- 通过建立持久的内部专业知识和可扩展的流程，减少对外部顾问的依赖。
- 监控、分析和解读监管动态，包括规则更新和检查重点，并向内部利益相关者提供明确的指导。
- 准备、提交并维护所有监管文件，包括 Form ADV、Form CRS、U4/U5 提交、13F、年度审查和其他必要提交。
- 撰写、完善并执行与《顾问法》、操作流程和实际风险相一致的合规政策和程序。
- 开展全公司范围的合规培训，确保团队了解期望并保持与监管义务一致。
- 识别、评估并缓解在咨询运营、交易、客户服务、营销和网络安全接触点的合规风险。
- 监督关键的 RIA 运营职责，包括交易对账、交易审查、最佳执行监督以及账簿和记录控制。
- 领导监管准备，包括模拟审计、测试、年度审查以及与 SEC 检查的协调。
- 管理客户入职和离职的合规方面，确保一致遵守监管要求。
- 推动合规文化，将合规融入决策过程和日常流程，随着公司的发展不断深化。
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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 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.
COMPETENCIES AND SKILLS
- 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.
WHAT IT’S LIKE TO WORK AT COMPOUND
We operate with integrity, communicate with transparency, and take accountability seriously. You’ll work alongside high performing colleagues across advisory, engineering, tax, and operations - people who hold themselves, and each other, to a high standard.
Compound is built for people who want to move quickly, build something enduring, and collaborate with a team aligned around a shared mission.
An $84 trillion wealth transfer is reshaping the financial landscape. Compound is building the financial institution designed for that future and our Chief Compliance Officer will play a critical role in shaping how we get there.