Job Description
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 hiring a strategic, hands-on Chief Compliance Officer 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’ll Do
Own and lead the compliance program end-to-end, partnering with the General Counsel and external resources to maintain a proactive, best-in-class regulatory framework.
Operate with independence and confidence, reducing reliance on consultants while protecting the company from compliance and operational risks.
Track, analyze, and interpret regulatory changes, communicating guidance and implications to internal stakeholders in real time.
Prepare, file, and maintain all regulatory documents, including Form ADV, Form CRS, U4/U5 filings, 13F, and additional required submissions.
Draft, refine, and implement compliance policies and procedures that reflect current regulation, industry standards, and internal operational realities.
Conduct ongoing training and education to strengthen compliance awareness and expectations across teams.
Identify, assess, and mitigate compliance risks, integrating risk management into business processes, cybersecurity, and client operations.
Lead compliance onboarding and offboarding for clients, ensuring consistent adherence to regulatory requirements.
Oversee trade reconciliation, trade reviews, and related supervisory responsibilities.
Prepare for and manage mock audits, regulatory exams, and ongoing testing.
Champion a culture of compliance, ensuring it remains a core pillar of how we operate as we scale.
Competencies and Skills
Extensive compliance experience within SEC-registered investment advisers and/or FinTech environments.
Deep knowledge of the Investment Advisers Act of 1940, SEC rules, Form ADV, Form CRS, U4/U5, Advisory Agreements, the Custody Rule, and Reg S-ID.
Direct experience with 13F filings, trade reconciliation and reviews, mock audits, and SEC examinations.
Experience supporting or scaling compliance programs in high-growth or technology-forward organizations.
Strong communication, interpersonal, and leadership skills—able to guide senior management and collaborate cross-functionally.
Demonstrated ability to problem-solve in ambiguous environments and convert complexity into structured, actionable steps.
Comfortable working in a fast-paced, startup environment, where no two days look the same and the bar stays high.
A steady hand, sound judgment, and the ability to balance innovation with regulatory expectations.
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.
