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Compliance Senior Associate
il y a 1 jour
Compound Planning is a high growth digital family office with over $4B in AUM added since 2022. We serve entrepreneurs, professionals, and retirees through a powerful combination of personalized financial advisory and a proprietary technology platform. Our cross functional team of advisors, tax experts, engineers, and operators is building the financial institution of the future - one grounded in rigor, client trust, and operational excellence.
We are seeking a Compliance Senior Associate who brings solid experience within SEC-registered investment advisers or wealth-management firms and is ready to stretch into broader responsibility as the company scales. This role is ideal for someone who knows the regulatory landscape, operates with sound judgment, and wants to grow into a future compliance leader. You'll have meaningful ownership from day one, supported by experienced legal and leadership partners who value precision, accountability, and steady execution.
What You'll DoSupport 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.
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.
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.
We operate with integrity, communicate with transparency, and take accountability seriously. You'll work alongside high-performing colleagues across advisory, engineering, tax, and operations, people who hold themselves, and each other, to a high standard.
Compound is built for people who want to move quickly, build something enduring, and collaborate with a team aligned around a shared mission.
An $84 trillion wealth transfer is reshaping the financial landscape. Compound is building the financial institution designed for that future - and our Compliance Senior Associate will play a critical role in shaping how we get there.
