General Counsel & Chief Compliance Officer

5-10 yrs required

Full-time

No

Position: General Counsel & Chief Compliance Officer
Experience: Extensive experience in compliance and legal roles within the financial services industry
Salary: $180,000+ base salary
Location: San Francisco, New York, Denver
Type: Full time
Department: Compound Planning Wealth Management

H1: Join our team as General Counsel & Chief Compliance Officer!
H2: Exciting Opportunity at Compound Planning Wealth Management

Overview:
- Compound Planning is a high growth digital family office with over $1B AUM added since 2022
- We are seeking an experienced executive to be our general counsel and chief compliance officer
- This dual role will play a crucial part in ensuring the company's compliance with regulatory requirements and providing strategic legal counsel
- Be a part of the journey to revolutionize the wealth management industry

Responsibilities:
- Take full ownership of the company's compliance program, maintaining a best-in-class and proactive approach
- Operate independently to protect the company from legal risks
- Monitor and assess the impact of regulatory changes on the company's operations and provide timely guidance
- Prepare and submit regulatory filings, including Form ADV
- Create and update compliance policies and procedures in line with industry standards and regulatory expectations
- Provide legal counsel on various matters including contracts, intellectual property, employment law, and corporate governance
- Identify and assess legal and compliance risks, proposing and implementing risk mitigation strategies
- Collaborate with external legal counsel and participate in due diligence processes for potential mergers, acquisitions, or partnerships
- Foster a culture of compliance within the company

Competencies and Skills:
- JD from a top US law school and active bar membership in good standing
- Extensive experience in compliance and legal roles within the financial services industry
- Strong knowledge of relevant regulations, including Investment Advisers Act and SEC rules
- Excellent communication, interpersonal, and leadership skills
- Ability to work collaboratively with cross-functional teams and provide strategic guidance to senior management
- Comfortable working in a fast-paced start-up/technology-centric environment
- Ability to navigate change and provide clear, actionable steps
- Innovative mindset and ability to work outside the scope of existing resources

Working at Compound:
- Our work culture is designed to help you maximize your effectiveness
- We prioritize protecting your time and potential
- You'll work with exceptional teammates who want to help you succeed
- The upcoming transfer of $84 trillion dollars to the next generation presents immense potential for growth in the wealth management industry
- Companies that earn the trust to manage this wealth will be more successful than current financial institutions

Join the Compound team and be a part of shaping the future of wealth management! Our base salary compensation for this role starts at $180,000+ for candidates located in New York, San Francisco, and Denver.

Not specified

Competitive compensation, potential for advancement, dynamic work culture

English

Legal Compliance, Regulatory Requirements, Strategic Legal Counsel, Wealth Management Industry, Risk Mitigation, Due Diligence, Legal Documents, Business Processes, Communication, Interpersonal, Leadership, Cross-functional Collaboration, Innovation, Time Management, Prioritization, Trust Management

JD from top US law school

Please submit your resume and cover letter to [company email address].

Qualification and Experience JD from top US law school, active bar membership in good standing

Legal