Chief Compliance Officer
2 days ago
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.
- 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.
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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Chief Compliance Officer
2 days ago
Raleigh, North Carolina, United States Compound Planning Full timeChief Compliance OfficerCompound Planning, a high-growth digital family office, is seeking an experienced Chief Compliance Officer to join our team. As a key member of our leadership team, you will play a crucial role in ensuring our company's compliance with regulatory requirements while contributing to our strategic plan.Key Responsibilities:Develop and...
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Chief Compliance Officer
4 days ago
Raleigh, North Carolina, United States Compound Planning Full time{"title": "Chief Compliance Officer", "description": "OverviewCompound 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...
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Chief Compliance Officer, Consumer Banking
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Chief Safety Officer
2 days ago
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Chief Safety Officer
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Chief Financial Officer
4 days ago
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Chief Safety Officer
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Chief Financial Officer
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Chief Financial Officer
4 days ago
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Chief Safety Officer
2 days ago
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Chief Financial Officer
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Chief Executive Officer
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Raleigh, North Carolina, United States Connections Healthcare Staffing Full time{"title": "Chief Nursing Officer", "subtitle": "Lead Nursing Services in a 250+ Bed Community Facility", "content": "We are seeking a seasoned Chief Nursing Officer to lead our nursing services team in a 250+ bed community facility. As a key member of our leadership team, you will be responsible for ensuring the delivery of high-quality patient care and...
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Compliance Officer
6 days ago
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Chief Operations Officer
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Compliance Officer
1 week ago
Raleigh, North Carolina, United States Apex Systems Full timeJob Summary:The Compliance Officer will be responsible for developing and implementing a compliance program, creating sound internal controls, and monitoring adherence to them. The ideal candidate will have proven experience as a Compliance Officer, experience in risk management, and knowledge of HIPAA and NIST requirements.Key Responsibilities:Develop and...