Compound Planning, Inc. is hiring a Chief Compliance Officer

Overview Compound Planning is a rapidly expanding digital family office managing over $4B in assets since 2022. We provide entrepreneurs, professionals, and retirees with a sophisticated blend of personalized financial guidance and innovative technological solutions. Our interdisciplinary team of advisors, tax specialists, engineers, and operational experts is constructing the financial infrastructure of tomorrow—rooted in precision, client confidence, and operational mastery. We're recruiting a strategic, hands-on Chief Compliance Officer to direct and expand our compliance framework, ensuring the organization remains ahead of regulatory dynamics during our growth trajectory. If you comprehend the evolving landscape of wealth management and desire to influence its future, continue reading. What You'll Do • Comprehensively manage the compliance program, collaborating with General Counsel and external partners to maintain a proactive, industry-leading regulatory approach. • Execute responsibilities with autonomy and conviction, minimizing external consultant dependence while safeguarding organizational integrity. • Monitor, evaluate, and interpret regulatory shifts, delivering real-time guidance and implications to internal stakeholders. • Generate, submit, and maintain all requisite regulatory documentation, including Form ADV, Form CRS, U4/U5 submissions, 13F, and additional mandated filings. • Develop, refine, and implement compliance protocols reflecting current regulations, industry benchmarks, and internal operational contexts. • Facilitate continuous training and educational initiatives to enhance compliance consciousness across teams. • Diagnose, evaluate, and mitigate compliance vulnerabilities, integrating risk management into business processes, cybersecurity, and client interactions. • Manage compliance onboarding and offboarding protocols for clients, ensuring consistent regulatory adherence. • Supervise trade reconciliation, review processes, and related oversight responsibilities. • Coordinate mock audits, regulatory examinations, and ongoing assessments. • Cultivate a compliance-centric culture, ensuring it remains fundamental to organizational operations during expansion. Competencies and Skills • Comprehensive compliance expertise within SEC-registered investment advisory and FinTech environments. • Extensive understanding of Investment Advisers Act of 1940, SEC regulations, Form ADV, Form CRS, U4/U5, Advisory Agreements, Custody Rule, and Reg S-ID. • Direct experience with 13F filings, trade reconciliation, reviews, mock audits, and SEC examinations. • Proven track record supporting compliance programs in high-growth or technologically innovative organizations. • Exceptional communication, interpersonal, and leadership capabilities—adept at guiding senior management and facilitating cross-functional collaboration. • Proven ability to navigate ambiguous scenarios and transform complexity into structured, actionable strategies. • Adaptable to dynamic, entrepreneurial environments with consistently elevated performance expectations. • Demonstrative composure, discerning judgment, and skill balancing innovation with regulatory compliance. What It's Like to Work at Compound We operate with unwavering integrity, communicate transparently, and embrace accountability. You'll collaborate with high-caliber professionals across advisory, engineering, tax, and operational domains—individuals committed to exceptional standards. Compound attracts professionals seeking rapid progress, sustainable development, and collaborative engagement around a unified mission. An $84 trillion wealth transfer is fundamentally restructuring the financial ecosystem. Compound is developing the financial institution designed for this emerging landscape—with our Chief Compliance Officer playing a pivotal role in defining our trajectory.