General Counsel and Chief Compliance Officer

2 hours ago


Denver, Colorado, United States COMPOUND Full time
{"title": "General Counsel and Chief Compliance Officer", "description": "Job Summary

We are seeking an experienced General Counsel and Chief Compliance Officer to join our team at Compound. As a key member of our leadership team, you will play a critical role in ensuring the company's compliance with regulatory requirements while providing strategic legal counsel to support our business objectives.

Key Responsibilities
  1. Develop and implement a best-in-class compliance program, working closely with our outside compliance consultants.
  2. Provide legal counsel on a wide range of matters, including contracts, intellectual property, employment law, and corporate governance.
  3. Monitor and assess the impact of regulatory changes on the company's operations, providing timely guidance to internal stakeholders.
  4. Prepare and submit regulatory filings, including Form ADV and other required documents.
  5. Create and update compliance policies and procedures, ensuring they align with industry standards and regulatory expectations.
  6. Identify and assess legal and compliance risks, proposing and implementing risk mitigation strategies.
  7. Participate in due diligence processes for potential mergers, acquisitions, or strategic partnerships.
Requirements
  1. JD from a top US law school and active bar membership in good standing.
  2. Extensive experience in compliance and legal roles within the financial services industry.
  3. Strong knowledge of relevant regulations, including Investment Advisers Act and SEC rules.
  4. Excellent communication, interpersonal, and leadership skills.
  5. Proven ability to work collaboratively with cross-functional teams and provide strategic guidance to senior management.
About Compound

Compound 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 your time and potential, and we're committed to helping you maximize your effectiveness. If you're a motivated and experienced professional looking for a challenging and rewarding role, we encourage you to apply.

", "lang_code": "en"}

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