General Counsel & Chief Compliance Officer

Full-time

No

Job Title: General Counsel & Chief Compliance Officer
H1: Join Our Team as General Counsel & CCO
H2: Exciting Opportunity for Experienced Legal Professional

- Full-time position in Compound Planning Wealth Management department
- Location: San Francisco, New York, Denver
- Competitive base salary starting at $180,000+
- Fast-paced start-up environment focused on maximizing effectiveness and protecting employee time and potential
- $1B AUM added since 2022, high growth digital family office for entrepreneurs, professionals, and retirees
- Team of seasoned financial advisors, technologists, tax professionals, and operators
- Magical client experience powered by world-class team, holistic approach, and proprietary digital platform
- Seeking experienced executive to fill dual role as General Counsel & Chief Compliance Officer
- Responsible for ensuring company compliance with regulatory requirements and providing strategic legal counsel
- Opportunity to be part of changing wealth management industry
- Ownership of compliance program with support from outside consultants
- Ability to operate with little dependence on outside counsel
- Monitor and assess impact of regulatory changes on company operations
- Prepare and submit regulatory filings and update compliance policies and procedures
- Provide legal counsel on various matters, including contracts, intellectual property, and employment law
- Identify and assess legal and compliance risks and implement risk mitigation strategies
- Collaborate with internal teams and external legal counsel as needed
- Participate in due diligence processes for potential mergers, acquisitions, or partnerships
- Foster and champion a culture of compliance
- JD from top US law school and active bar membership required
- Extensive experience in compliance and legal roles within financial services industry preferred
- Strong knowledge of relevant regulations, particularly 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, technology-centric environment
- Ability to navigate and adapt to change
- Opportunities for growth and innovation outside of existing resources
- Compensation includes base salary starting at $180,000+ for candidates in New York, San Francisco, and Denver
- Exciting opportunity to be part of a company positioned for success in managing the transfer of $84 trillion in wealth to the next generation.

Legal