Compound

Compliance

• Own and lead the entire compliance program, partnering with the General Counsel and external resources to maintain a proactive, best-in-class regulatory framework.
• Establish and maintain a proactive regulatory framework rooted in industry best practices for RIAs and wealth management firms.
• Reduce consultant dependence by building durable in-house expertise and scalable processes.
• Monitor, analyze, and interpret regulatory developments - from rule updates to exam priorities - and deliver clear guidance to internal stakeholders.
• Prepare, file, and maintain all regulatory documentation, including Form ADV, Form CRS, U4/U5 filings, 13F, annual reviews, and other required submissions.
• Draft, refine, and enforce compliance policies and procedures aligned with the Advisers Act, operational workflows, and real-world risk.
• Conduct firm wide compliance training, ensuring teams understand expectations and stay aligned with regulatory obligations.
• Identify, assess, and mitigate compliance risks across advisory operations, trading, client service, marketing, and cybersecurity touchpoints.
• Oversee key RIA operational responsibilities, including trade reconciliation, trade reviews, best-execution oversight, and books-and-records controls.
• Lead regulatory readiness, including mock audits, testing, annual reviews, and coordination of SEC examinations.
• Manage compliance aspects of client onboarding and offboarding, ensuring consistent adherence to regulatory requirements.
• Champion a culture of compliance, embedding it into decision making and day-to-day processes as the firm scales.

Chief Compliance Officer