Chief Compliance Officer

Compound

Chief Compliance Officer overseeing compliance programs for digital family office with significant AUM growth. Leading regulatory adherence and compliance strategy as the firm scales.

Posted 6/8/2026full-timeRemote • 🇺🇸 United StatesLeadWebsite

Tech Stack

Tools & technologies

Cyber Security

About the role

Key responsibilities & impact

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.

Requirements

What you’ll need

Extensive compliance leadership experience within SEC registered investment advisers, multi-family offices, wealth management firms, or similar fiduciary environments.
Deep command of the Investment Advisers Act of 1940, including Form ADV, Form CRS, U4/U5 filings, Advisory Agreements, the Custody Rule, Code of Ethics, and Reg S-ID.
Hands-on experience with 13F filings, trade oversight, surveillance, mock audits, annual reviews, and SEC examinations.
Proven success scaling or professionalizing a compliance program in a growing RIA or advisory business.
Strong analytical and operational judgment, with the ability to simplify ambiguity and implement practical, sustainable solutions.

Benefits

Comp & perks

Health insurance
Professional development opportunities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance program managementregulatory framework developmentregulatory documentation preparationForm ADVForm CRSU4/U5 filings13F filingstrade oversightmock auditsSEC examinations

Soft Skills

analytical judgmentoperational judgmentproblem-solvingcommunicationleadershiptrainingrisk assessmentdecision makingcollaborationadaptability