Chief Compliance Officer

Responsibilities

• Own and lead the entire compliance program, partnering with the General Counsel to maintain a proactive regulatory framework.
• Establish and maintain industry best practices for RIAs and wealth management firms.
• Reduce consultant dependence by building durable in-house expertise and scalable processes.
• Monitor and interpret regulatory developments and deliver clear guidance to internal stakeholders.
• Prepare and maintain all regulatory documentation, including Form ADV, Form CRS, U4/U5 filings, and 13F filings.
• Draft, refine, and enforce compliance policies and procedures aligned with the Advisers Act.
• Conduct firm-wide compliance training to ensure alignment with regulatory obligations.
• Identify and mitigate compliance risks across advisory operations, trading, marketing, and cybersecurity.
• Oversee RIA operational responsibilities, including trade reconciliation, reviews, and books-and-records controls.
• Lead regulatory readiness, including mock audits, testing, and coordination of SEC examinations.

Requirements

• Extensive compliance leadership experience within SEC registered investment advisers, multi-family offices, or wealth management firms.
• Deep command of the Investment Advisers Act of 1940, including Form ADV, Form CRS, U4/U5 filings, and the Custody Rule.
• Hands-on experience with 13F filings, trade oversight, surveillance, and SEC examinations.
• Proven success scaling or professionalizing a compliance program in a growing RIA.
• Exceptional communication skills with the ability to advise executives and influence organizational culture.
• Strong analytical and operational judgment to implement practical, sustainable solutions.

About the Company

Compound Planning, Inc. is a high-growth digital family office that has added over $4B in AUM since 2022. We serve entrepreneurs, professionals, and retirees through a combination of personalized financial advisory and a proprietary technology platform. Our mission is to build the financial institution of the future, grounded in rigor, client trust, and operational excellence.