United States onlyCompound Planning is a high growth digital family office seeking a Compliance Senior Associate with solid experience in SEC-registered investment advisers or wealth-management firms. The role involves supporting and evolving the firm's compliance program, processing regulatory filings, and conducting routine testing and surveillance.
Requirements
- 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.
Benefits
- Opportunity to take on expanding responsibility as the compliance program grows.
- Direct exposure to regulatory strategy, audits, examinations, and program development.
- Front row seat in a high-growth advisory firm where your work genuinely shapes the firm's risk posture and operational strength.
