Compliance Senior Associate

Compound(1 month ago)

HybridFull TimeSenior$121,572 - $162,595 (estimated)Compound Planning Wealth Management

About this role

The Compliance Senior Associate at Compound Planning is responsible for evolving the firm’s compliance program in collaboration with senior leadership while managing regulatory filings, monitoring changes, and conducting compliance testing. This role requires expertise in SEC regulations and policies, overseeing audit readiness, client reviews, and trade oversight. Additionally, the associate will identify compliance risks and coordinate firm-wide training to foster a strong culture of compliance as the company scales.

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Required Skills

Compliance Program
Regulatory Filings
Policy Implementation
Routine Testing
Client Onboarding
Audit Readiness
Compliance Training
Risk Identification
Trade Oversight
Stakeholder Communication

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About Compound

withcompound.com

Compound Planning is a modern investment management firm that delivers personalized wealth management solutions for entrepreneurs, professionals, retirees, and families. The company combines a world-class advisory team with innovative technology to provide comprehensive services, including financial planning, tax consulting, and asset management. With over $4 billion in assets under management, Compound Planning is known for its commitment to helping clients achieve their financial goals and navigate the complexities of wealth management. Their goal-oriented approach ensures tailored strategies that reflect individual needs and circumstances.