Compound

Senior Compliance Associate

Compound

full-time

Posted on:

Location Type: Remote

Location: Remote • 🇺🇸 United States

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Job Level

Senior

About the role

  • Support and help evolve the firm’s compliance program, working closely with the General Counsel and senior compliance leadership.
  • Process regulatory filings and documentation, including Form ADV, Form CRS, U4/U5 updates, 13F, annual reviews, and other required submissions.
  • Monitor and summarize regulatory changes, surfacing updates and implications to internal stakeholders in a timely, practical way.
  • Help draft, update, and implement compliance policies and procedures, ensuring alignment with the Advisers Act, internal workflows, and industry standards.
  • Conduct routine testing and surveillance, including trade reviews, advertising/marketing oversight, and books-and-records checks.
  • Participate in client onboarding and offboarding compliance reviews, ensuring consistent application of regulatory requirements.
  • Own audit readiness, mock exams, SEC examination preparation, and ongoing compliance testing.
  • Coordinate firm wide compliance training, reinforcing expectations and raising awareness across teams.
  • Identify emerging compliance risks and work with cross-functional partners to develop practical mitigation strategies.
  • Support trading oversight, including trade reconciliation and best-execution processes.
  • Contribute to building a culture of compliance, where fiduciary responsibility and thoughtful decision-making guide how the business operates.

Requirements

  • 3 - 7+ years of experience in compliance within SEC-registered investment advisers, wealth-management firms, or similar fiduciary environments.
  • Working knowledge of the Investment Advisers Act of 1940, Form ADV, Form CRS, U4/U5, the Custody Rule, Code of Ethics, and record keeping requirements.
  • Experience with trade oversight, including reconciliations, reviews, and documentation.
  • Familiarity with regulatory filings, such as 13F, or a strong willingness to learn quickly.
  • Strong organizational and communication skills, with the ability to collaborate across teams and explain compliance expectations clearly.
  • Detail-orientation with practical judgment, able to spot issues early and escalate appropriately.
  • Comfort operating in a fast-paced environment, where priorities shift and structure continues to mature.
  • Curiosity, humility, and ambition, with a desire to grow into a more senior compliance role over time.
Benefits
  • The opportunity to take on expanding responsibility as the compliance program grows.
  • Direct exposure to regulatory strategy, audits, examinations, and program development.
  • A front row seat in a high-growth advisory firm where your work genuinely shapes the firm’s risk posture and operational strength.

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
regulatory filingsForm ADVForm CRSU4/U5 updates13Ftrade oversightreconciliationscompliance policiessurveillanceaudit readiness
Soft skills
organizational skillscommunication skillscollaborationdetail orientationpractical judgmentcuriosityhumilityambitionability to explain compliance expectationsadaptability