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.