Chief Compliance Officer

2 days ago


Raleigh, North Carolina, United States Compound Planning Full time
{"title": "Chief Compliance Officer", "description": "Overview

Compound Planning, a leading SEC registered investment advisor, is seeking an experienced Chief Compliance Officer to join our team. As a key member of our leadership, you will play a critical role in ensuring our company's compliance with regulatory requirements while contributing to our strategic growth.

Key Responsibilities
  • Develop and implement a best-in-class compliance program, collaborating with our General Counsel and external resources.
  • Monitor regulatory changes and provide 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 alignment with industry standards and regulatory expectations.
  • Conduct ongoing training and education, fostering a culture of compliance.
  • Identify and assess compliance risks, proposing and implementing risk mitigation strategies.
Requirements
  • Extensive experience in a compliance role, preferably with SEC RIAs and/or Fintechs, including knowledge of Forms CRS and ADV, U4 and 5, Advisory Agreements, the Custody rule, and Reg S-ID.
  • Strong knowledge of relevant regulations, including the 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.
About Compound Planning

At Compound Planning, we prioritize our team's success and well-being. Our work culture is designed to help you maximize your effectiveness, with a focus on protecting your time and potential. Join our team of exceptional professionals and contribute to shaping the future of wealth management.

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