Compound Labs
Chief Compliance Officer
Remote — the employer does not say where candidates may be based.
Location not stated
Employer listed it 4 months ago · Added yesterday
Been open since 4 months ago. Long-running listings are sometimes left up after the role is filled.
Salary
Not stated
Location
Location not stated
Timezone
Not stated
Contract
Full-time
Experience
Lead
Category
Finance
This employer didn't state pay. Jobs like this usually pay around $185k–$250k a year, a typical range taken from 107 lead-level finance roles on Nomaders that do state pay. It's a guide, not an offer.
Remote flexibility
Undisclosed
The listing is advertised as remote but does not state which countries or regions candidates may work from.
Why this role is Undisclosed
We only label a role Work from anywhere, Region restricted or Work from home when the employer's own wording says so. We checked this advert under our current rules and found no country or region eligibility requirement in it. We don't guess, so it stays Undisclosed until the employer publishes enough location information. Here is exactly what the advert left out.
- Countries you can work from: Not stated. The advert only gives "Remote", which names no country you must live in.
- Whether the work is remote: Never mentioned. The role reached us through a remote job board, but the advert itself doesn't say the work is remote.
- Working hours: Not stated. No timezone overlap or set hours are mentioned, so assume nothing either way.
Worth a look all the same. Missing wording is usually a rushed job posting rather than a closed door, so ask where you can be based in your first message, before you write a tailored application.
What the employer says
- Source listing states candidate location: "Remote"
What Nomaders makes of it
- No residency or region requirement found in the job description
- Check with the employer before assuming you can work from abroad
The quotes above are the employer's own words; the reading is ours. Always check the original listing and employment terms before working from another country.
About the role
Overview
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’re seeking a strategic, hands-on Chief Compliance Officer with deep experience in SEC-registered investment advisers and wealth management operations to lead and scale our compliance program and ensure the firm remains ahead of regulatory expectations as we grow. If you understand how wealth management is evolving and want to help shape what comes next, read on.
What You will Do
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.
Competencies and Skills
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.
Exceptional communication and leadership skills - able to educate the business, advise executives, and influence without drama.
Strong analytical and operational judgment, with the ability to simplify ambiguity and implement practical, sustainable solutions.
Comfort in a fast-paced environment, where priorities shift and standards stay high.
Requirements
- ·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.
- ·Exceptional communication and leadership skills - able to educate the business, advise executives, and influence without drama.
Benefits
No benefits package published with this listing. Ask about it at first interview.
How to apply
- 1Check the flexibility label above, undisclosed, matches where you plan to live and work.
- 2Tailor your CV to the role at Compound Labs, mentioning your remote working experience.
- 3Apply directly on the employer's careers page using the button below. Nomaders never handles your application.
Found 1d ago. Last checked today. Always confirm the details on the original posting, salary and location can change after publication.
Listing sourced from Company boards.
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