Chief Compliance Officer
1 day 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 team, 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, working closely with our General Counsel and outside compliance resources.
- Monitor and assess the impact of regulatory changes on our 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 alignment with industry standards and regulatory expectations.
- Conduct ongoing training and education for our team.
- Identify and assess compliance risks, proposing and implementing risk mitigation strategies.
- Lead compliance onboarding of new clients and offboarding of departing clients.
- Foster a culture of compliance within our organization.
- 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.
- 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.
Compound Planning 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 prioritize protecting our team's time and potential, allowing them to maximize their effectiveness. Join us in shaping the future of wealth management and helping our clients achieve their financial goals.
-
Chief Compliance Officer
4 days ago
Los Angeles, California, United States Los Angeles USD Full timeChief Compliance OfficerLos Angeles Unified School District seeks a seasoned professional to serve as Chief Compliance Officer. This critical role ensures the district's compliance with laws, regulations, and policies.Key Responsibilities:Develop and implement compliance programs and policiesConduct risk assessments and auditsProvide training and guidance to...
-
Chief Compliance Officer
2 weeks ago
Los Angeles, California, United States Los Angeles USD Full timeJob Title: Chief Compliance OfficerJob Summary:The Los Angeles Unified School District is seeking a seasoned professional to serve as its Chief Compliance Officer. This key role will be responsible for developing, implementing, and evaluating various compliance and regulatory functions and programs across multiple District departments.About the Job:The...
-
Chief Compliance Officer
2 weeks ago
Los Angeles, California, United States Los Angeles USD Full timeJob Title: Chief Compliance OfficerJob Summary:The Los Angeles Unified School District is seeking a seasoned professional to serve as its Chief Compliance Officer. This key role will be responsible for developing, implementing, and evaluating various compliance and regulatory functions and programs across multiple District departments.About the Role:The...
-
Chief Compliance Officer
2 weeks ago
Los Angeles, California, United States Los Angeles USD Full timeChief Compliance OfficerWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Los Angeles Unified School District. The successful candidate will be responsible for developing and implementing effective compliance programs to ensure the district's adherence to regulatory requirements and industry standards.Key...
-
Deputy Chief Ethics and Compliance Officer
2 weeks ago
Los Angeles, California, United States Fox News Network Full timeJob Title: Deputy Chief Ethics and Compliance OfficerAt Fox News Network, we are seeking a highly skilled and experienced Deputy Chief Ethics and Compliance Officer to join our team. This is a senior-level executive role responsible for assisting in the oversight and management of our organization's compliance with laws, regulatory requirements, policies,...
-
Chief Compliance Officer
4 weeks ago
Los Angeles, California, United States Los Angeles USD Full timeChief Compliance Officer OpportunityWe are seeking a highly skilled Chief Compliance Officer to join our team at Los Angeles Unified School District. As a key member of our organization, you will be responsible for ensuring compliance with all relevant laws, regulations, and policies.Key Responsibilities:Develop and implement effective compliance programs...
-
Chief Compliance Officer
2 weeks ago
Los Angeles, California, United States Lightspark Full timeJob Title: Chief Compliance OfficerLightspark is a leading provider of enterprise-grade gateways to the Lightning Network, enabling fast and secure payments globally. We are seeking an experienced Chief Compliance Officer (CCO) to lead our compliance function and ensure regulatory compliance across all business activities.Key Responsibilities:Design and...
-
Chief Compliance Officer
7 days ago
Los Angeles, California, United States Lightspark Full timeJob Title: Chief Compliance OfficerLightspark is seeking an experienced Chief Compliance Officer to lead our compliance function and develop, oversee, and manage all aspects of regulatory compliance within our Lightning services business.Key Responsibilities:Design, implement, and maintain an effective compliance program tailored to crypto and fiat payments...
-
Deputy Chief Ethics and Compliance Officer
4 weeks ago
Los Angeles, California, United States Fox Full timeJob SummaryThe Deputy Chief Ethics and Compliance Officer is a senior-level executive role responsible for assisting in the oversight and management of an organization's compliance with laws, regulatory requirements, policies, and procedures. As a deputy to the Chief Ethics and Compliance Officer, this role entails supporting the development, implementation,...
-
Chief Information Officer Assistant
2 weeks ago
Los Angeles, California, United States The County of Los Angeles Full timeJob Title: Assistant Chief Information Officer (UC)The County of Los Angeles Chief Executive Office is seeking an Assistant Chief Information Officer (UC) to join our team. This is a highly visible role with an opportunity to make an impact across the County.Job Summary:The Assistant Chief Information Officer reports directly to the County's Chief...
-
Chief Financial Officer
2 weeks ago
Los Angeles, California, United States Sun Hill Properties Inc. Full timeJob Title: Chief Financial OfficerSun Hill Properties Inc. is seeking a highly skilled and experienced Chief Financial Officer to join our team. As a key member of our executive team, the CFO will be responsible for leading our financial operations, ensuring the company's financial health and sustainability, and driving growth and profitability.Key...
-
Chief Operations Officer
2 weeks ago
Los Angeles, California, United States County of Contra Costa Full timeJob SummaryWe are seeking a seasoned professional to fill the role of Chief Operations Officer - Exempt in our Health Plan division. As a key member of our leadership team, you will be responsible for managing a team of directors with diverse managed care expertise and overseeing the operational aspects of our health plan.Key ResponsibilitiesManaging a team...
-
Chief Financial Officer
1 week ago
Los Angeles, California, United States After-School All-Stars Full timeChief Financial OfficerAfter-School All-Stars is seeking a seasoned Chief Financial Officer to join our National Executive team. As a key member of our leadership team, you will be responsible for overseeing the organization's financial functions, including finance, operations, and systems.Key Responsibilities:Develop and implement financial strategies to...
-
Chief Financial Officer
1 month ago
Los Angeles, California, United States Cesna - Recruitment experts worldwide Full timeAbout the RoleCesna - Recruitment experts worldwide is seeking a highly experienced Chief Financial Officer to lead our client's financial operations and regulatory compliance. As the Head of Finance, you will play a pivotal role in ensuring the company's financial stability and regulatory adherence, particularly focusing on security offerings and IPOs.Key...
-
Chief Compliance Officer
1 month ago
Los Angeles, California, United States Los Angeles USD Full timeAbout the RoleThe Los Angeles Unified School District is seeking a seasoned professional to fill the position of Chief Compliance Officer. This key role will play a pivotal part in upholding the District's commitment to legal and regulatory compliance across the organization.Key ResponsibilitiesDevelop, implement, and evaluate various compliance and...
-
Chief Financial Officer
1 week ago
Los Angeles, California, United States Jobot Full timeJob Title: Chief Financial OfficerJobot is seeking a highly experienced and skilled Chief Financial Officer to join our team. As a key member of the executive management team, the CFO will be responsible for leading the financial planning, analysis, and reporting functions of the company.Responsibilities:Develop and implement financial strategies to drive...
-
Chief Financial Officer
2 weeks ago
Los Angeles, California, United States Union Rescue Mission Full timeChief Financial OfficerUnion Rescue Mission is seeking a highly skilled and experienced Chief Financial Officer to join our team. As a key member of our leadership team, the CFO will be responsible for the financial health and sustainability of our organization.Key Responsibilities:Develop and maintain financial policies and controls to ensure the integrity...
-
Chief Financial Officer
2 weeks ago
Los Angeles, California, United States AiLO Logistics Full timeJob Title: Chief Financial Officer About the Role: We are seeking a highly skilled and experienced Chief Financial Officer to join our team at AiLO Logistics. As a key member of our Executive Management team, you will report directly to the CEO and President and be responsible for ensuring the highest standards of financial excellence, fiscal integrity,...
-
Chief Medical Officer
2 weeks ago
Los Angeles, California, United States Tandym Group Full timeChief Medical Officer - PediatricsWe are seeking an experienced and skilled Chief Medical Officer to lead our pediatric department. As a key member of our leadership team, you will be responsible for developing and implementing medical policies, procedures, and programs to ensure high-quality patient care.About the OpportunityWork Schedule: Monday to Friday,...
-
Chief Medical Officer
2 weeks ago
Los Angeles, California, United States MedPOINT Management Full timeJob Title: Chief Medical OfficerWe are seeking a highly skilled and experienced Chief Medical Officer to join our team at MedPOINT Management. As a key member of our leadership team, you will be responsible for providing strategic leadership and oversight for all medical aspects of our organization.Key Responsibilities:Provide strategic leadership and...