General Counsel & Chief Compliance Officer
Company: Compound
Location: San Francisco
Posted on: April 30, 2024
Job Description:
OverviewCompound Planning, with over $1B AUM added since 2022,
is a high growth digital family office for entrepreneurs,
professionals, and retirees. We're a team of seasoned financial
advisors, technologists, tax professionals, and operators
delivering a magical experience to clients powered by our world
class team, holistic approach, and proprietary digital platform.We
are hiring an experienced executive to be our general counsel and
chief compliance officer. In this dual role, you will play a
crucial part in ensuring the company's compliance with regulatory
requirements while also providing strategic legal counsel to
support our business objectives. You know the wealth management
industry is ripe for change, and you want to be part of the
journey.What you'll do
- Take full ownership of our compliance program with the aid of
our outside compliance consultants to maintain a best-in-class and
proactive compliance program.
- Operate with little dependence on outside counsel to protect
the company from legal risks.
- Monitor and assess the impact of regulatory changes on the
company's operations, providing timely guidance to internal
stakeholders.
- Prepare and submit regulatory filings, including Form ADV and
other required documents.
- Create and update compliance policies and procedures, ensuring
they align with industry standards and regulatory
expectations.
- Provide legal counsel on a wide range of matters, including
contracts, intellectual property, employment law, and corporate
governance, while taking a pragmatic approach to protecting the
firm from legal risks while considering the business needs.
- Identify and assess legal and compliance risks, proposing and
implementing risk mitigation strategies. Work closely with internal
teams to integrate risk management into business processes.
Collaborate with external legal counsel, when needed.
- Participate in due diligence processes for potential mergers,
acquisitions, or strategic partnerships. Draft and review legal
documents related to transactions, ensuring compliance and
mitigating legal risks.
- Foster and champion a culture of compliance.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.. Particular consideration given to
candidates who have experience with quickly scaling businesses, and
candidates who have experience particularly at the intersection of
tech and wealth management.
- Strong knowledge of relevant regulations, including Investment
Advisers Act and SEC rules.
- Excellent communication, interpersonal, and leadership
skills.
- Proven ability to work collaboratively with cross-functional
teams and provide strategic guidance to senior management.
- Demonstrated ability to work cross-functionally and innovate
outside the scope of existing resources
- Comfort working in a fast-paced start-up / technology-centric
environment
- Ability to translate ambiguous circumstances into clear,
actionable next steps to help others navigate changeWorking at
CompoundCompound's work culture is designed to help you maximize
your effectiveness. Your job will be doing. We ruthlessly
prioritize protecting your time and potential. You'll work with
exceptional teammates, who want to help you succeed. $84 trillion
dollars will be passed on to the next generation in the next couple
of decades. The companies that earn their trust to manage that
wealth will be immensely more successful than today's largest
financial institutions.CompensationBase salary compensation for
this role starts at $180,000+ for candidates located in New York,
San Francisco, and Denver.
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Keywords: Compound, Dublin , General Counsel & Chief Compliance Officer, Legal , San Francisco, California
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