Chief Legal Officer

2 weeks ago

Denver, Colorado, United States COMPOUND Full time

Position Overview

At Compound Planning, a rapidly expanding digital family office managing over $1 billion in assets, we are seeking a seasoned legal expert to assume the role of Chief Legal Officer and Chief Compliance Officer. This pivotal position involves ensuring adherence to regulatory standards while delivering strategic legal guidance to align with our business goals. As the wealth management sector undergoes significant transformation, your expertise will be vital in navigating this evolving landscape.

Key Responsibilities

  • Lead and manage our compliance framework with the support of external consultants to uphold a proactive and exemplary compliance environment.
  • Minimize reliance on external legal advisors to safeguard the organization against potential legal challenges.
  • Continuously monitor regulatory developments and assess their implications for the company, providing timely insights to relevant stakeholders.
  • Prepare and file necessary regulatory documents, including Form ADV, ensuring compliance with all requirements.
  • Develop and refine compliance policies and procedures to meet industry standards and regulatory expectations.
  • Offer legal advice across various domains, including contracts, intellectual property, employment law, and corporate governance, balancing legal protection with business objectives.
  • Identify legal and compliance risks, recommending and implementing strategies for risk mitigation. Collaborate with internal teams to integrate risk management into operational processes.
  • Engage in due diligence for potential mergers, acquisitions, or strategic alliances, drafting and reviewing legal documentation to ensure compliance and minimize risks.
  • Promote a culture of compliance throughout the organization.

Qualifications and Skills

  • Juris Doctor degree from a prestigious U.S. law school and active bar membership in good standing.
  • Significant experience in legal and compliance roles within the financial services sector, particularly in rapidly growing businesses and at the intersection of technology and wealth management.
  • In-depth knowledge of relevant regulations, including the Investment Advisers Act and SEC rules.
  • Exceptional communication, interpersonal, and leadership abilities.
  • Proven track record of collaborating with cross-functional teams and providing strategic counsel to senior leadership.
  • Demonstrated capacity to innovate and operate effectively in a fast-paced, technology-driven environment.
  • Ability to distill complex situations into clear, actionable steps to guide others through change.

Working at Compound

Our organizational culture is designed to enhance your effectiveness. We prioritize your time and potential, allowing you to work alongside exceptional colleagues who are committed to your success. With an estimated $84 trillion transitioning to the next generation in the coming decades, the firms that earn the trust to manage this wealth will outshine today's largest financial institutions.

Compensation

The base salary for this position starts at $180,000+ for candidates in key metropolitan areas.

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