Chief Compliance Officer

4 weeks ago

Columbus, United States Compound Planning Full time
Overview

Compound Planning, an SEC registered investment advisor with over $2.2B in AUM, 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 Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey.

What you'll do
  • Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program.
  • Experience to operate with little dependence on outside consultants to protect the company from compliance 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.
  • Conduct ongoing training and education.
  • Identify and assess compliance risks, proposing and implementing risk mitigation strategies. Work closely with internal teams to integrate risk management into business processes and cybersecurity.
  • Lead compliance onboarding of new clients and offboarding of departing clients.
  • Foster and champion a culture of compliance.
Competencies and Skills
  • Extensive experience in a compliance role preferably with SEC RIAs and/or Fintechs, including working knowledge of Forms CRS and ADV, U4 and 5, Advisory Agreements, the Custody rule, and Reg S-ID. Direct experience with 13F filings, trade reconciliation and reviews and mock audits and SEC exams. 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.
  • Strong knowledge of relevant regulations, including Investment Advisers Act of 1940 and SEC rules and regulations.
  • Excellent communication, interpersonal, and leadership skills.
  • Proven ability to work collaboratively with cross-functional teams and provide strategic guidance to senior management.
  • Demonstrated ability to work cross-functionally and innovate outside the scope of existing resources
  • Comfort working in a fast-paced start-up / technology-centric environment
  • Ability to translate ambiguous circumstances into clear, actionable next steps to help others navigate change

Working at Compound

Compound's work culture is designed to help you maximize your effectiveness. Your job will be doing. We ruthlessly prioritize protecting your time and potential. 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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