Chief Compliance Officer

About the role

Compound Planning, a fast‑growing digital family office, is looking for a strategic, hands‑on Chief Compliance Officer to lead and scale its compliance program. Reporting to senior leadership, you will ensure the firm stays ahead of regulatory expectations while supporting its rapid growth.

Key responsibilities

• Own and lead the end‑to‑end compliance program, partnering with General Counsel and external advisors.
• Develop and maintain a proactive regulatory framework aligned with industry best practices for RIAs and wealth‑management firms.
• Reduce reliance on consultants by building durable in‑house expertise and scalable processes.
• Monitor, analyze, and interpret regulatory developments and provide clear guidance to internal stakeholders.
• Prepare, file, and maintain all required regulatory documentation (Form ADV, Form CRS, U4/U5, 13F, annual reviews, etc.).
• Draft, refine, and enforce compliance policies and procedures in line with the Advisers Act and operational workflows.
• Conduct firm‑wide compliance training and embed a culture of compliance.
• Identify, assess, and mitigate compliance risks across advisory, trading, client service, marketing, and cybersecurity.
• Oversee RIA operational responsibilities such as trade reconciliation, best‑execution oversight, and books‑and‑records controls.
• Lead regulatory readiness activities, including mock audits, testing, and coordination of SEC examinations.

Required profile

• Extensive compliance leadership experience within SEC‑registered investment advisers, multi‑family offices, or similar fiduciary environments.
• Deep knowledge of the Investment Advisers Act of 1940 and related regulations (Form ADV, Form CRS, U4/U5, Custody Rule, Code of Ethics, Reg S‑ID).
• Proven track record scaling or professionalising a compliance program in a growing RIA.

Required skills

• Hands‑on experience with 13F filings, trade oversight, surveillance, mock audits, annual reviews, and SEC examinations.

What we offer

• Opportunity to shape compliance at a high‑growth digital family office.
• Collaborative cross‑functional team of advisors, tax experts, engineers, and operators.
• Competitive compensation and benefits package.