Chief Business Counsel

4 weeks ago

Denver CO, United States Compound Full time

Compound Planning, with over $1B AUM added since 2022, is a high growth digital family office for entrepreneurs, professionals, and retirees. We’re a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform.
We are hiring an experienced executive to be our general counsel and chief compliance officer. In this dual role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also providing strategic legal counsel to support our business objectives. Take full ownership of our compliance program with the aid of our outside compliance consultants to maintain a best-in-class and proactive compliance program.
Operate with little dependence on outside counsel to protect the company from legal risks.
Monitor and assess the impact of regulatory changes on the company's operations, providing timely guidance to internal stakeholders.
Prepare and submit regulatory filings, including Form ADV and other required documents.
Create and update compliance policies and procedures, ensuring they align with industry standards and regulatory expectations.
Provide legal counsel on a wide range of matters, including contracts, intellectual property, employment law, and corporate governance, while taking a pragmatic approach to protecting the firm from legal risks while considering the business needs.
Identify and assess legal and compliance risks, proposing and implementing risk mitigation strategies. Work closely with internal teams to integrate risk management into business processes. Collaborate with external legal counsel, when needed.
Participate in due diligence processes for potential mergers, acquisitions, or strategic partnerships. Draft and review legal documents related to transactions, ensuring compliance and mitigating legal risks.
Foster and champion a culture of compliance.
JD from a top US law school and active bar membership in good standing.
Extensive experience in compliance and legal roles within the financial services industry.. Particular consideration given to candidates who have experience with quickly scaling businesses, and candidates who have experience particularly at the intersection of tech and wealth management.
Proven ability to work collaboratively with cross-functional teams and provide strategic guidance to senior management.
Ability to translate ambiguous circumstances into clear, actionable next steps to help others navigate change
Compound's work culture is designed to help you maximize your effectiveness. You’ll work with exceptional teammates, who want to help you succeed. $84 trillion dollars will be passed on to the next generation in the next couple of decades. The companies that earn their trust to manage that wealth will be immensely more successful than today’s largest financial institutions.

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