---
title: 'Chief Compliance Officer at Compound Planning, Inc.'
canonical: 'https://feeny.ai/job/chief-compliance-officer-compound-planning-inc-remote-a17h3vy30716'
type: 'job'
last_seen: '2026-09-11'
---

# Chief Compliance Officer at Compound Planning, Inc.

- **Company:** Compound Planning, Inc.
- **Location:** Remote
- **Employment:** full-time
- **Work type:** remote
- **Posted:** 2026-06-08
- **Last confirmed live:** 2026-09-11
- **Apply:** https://jobs.ashbyhq.com/compound/f988efb2-597d-4f11-b3ce-b769deef2367

## Job description

## Overview

Compound Planning is a high-growth digital family office with over $4B in AUM added since 2022. We serve entrepreneurs, professionals, and retirees through a powerful combination of personalized financial advisory and a proprietary technology platform. Our cross-functional team of advisors, tax experts, engineers, and operators is building the financial institution of the future, one grounded in rigor, client trust, and operational excellence. We’re seeking a strategic, hands-on Chief Compliance Officer with deep experience in SEC-registered investment advisers and wealth management operations to lead and scale our compliance program and ensure the firm remains ahead of regulatory expectations as we grow. If you understand how wealth management is evolving and want to help shape what comes next, read on.

## What You will Do

- Own and lead the entire compliance program, partnering with the General Counsel and external resources to maintain a proactive, best-in-class regulatory framework.
- Establish and maintain a proactive regulatory framework rooted in industry best practices for RIAs and wealth management firms.
- Reduce consultant dependence by building durable in-house expertise and scalable processes.
- Monitor, analyze, and interpret regulatory developments - from rule updates to exam priorities - and deliver clear guidance to internal stakeholders.
- Prepare, file, and maintain all regulatory documentation, including Form ADV, Form CRS, U4/U5 filings, 13F, annual reviews, and other required submissions.
- Draft, refine, and enforce compliance policies and procedures aligned with the Advisers Act, operational workflows, and real-world risk.
- Conduct firm wide compliance training, ensuring teams understand expectations and stay aligned with regulatory obligations.
- Identify, assess, and mitigate compliance risks across advisory operations, trading, client service, marketing, and cybersecurity touchpoints.
- Oversee key RIA operational responsibilities, including trade reconciliation, trade reviews, best-execution oversight, and books-and-records controls.
- Lead regulatory readiness, including mock audits, testing, annual reviews, and coordination of SEC examinations.
- Manage compliance aspects of client onboarding and offboarding, ensuring consistent adherence to regulatory requirements.
- Champion a culture of compliance, embedding it into decision making and day-to-day processes as the firm scales.

Competencies and Skills

- Extensive compliance leadership experience within SEC registered investment advisers, multi-family offices, wealth management firms, or similar fiduciary environments.
- Deep command of the Investment Advisers Act of 1940, including Form ADV, Form CRS, U4/U5 filings, Advisory Agreements, the Custody Rule, Code of Ethics, and Reg S-ID.
- Hands-on experience with 13F filings, trade oversight, surveillance, mock audits, annual reviews, and SEC examinations.
- Proven success scaling or professionalizing a compliance program in a growing RIA or advisory business.
- Exceptional communication and leadership skills - able to educate the business, advise executives, and influence without drama.
- Strong analytical and operational judgment, with the ability to simplify ambiguity and implement practical, sustainable solutions.
- Comfort in a fast-paced environment, where priorities shift and standards stay high.
- A steady, principled decision maker who balances innovation with regulatory expectations and honors the fiduciary duty at the core of the profession.

What It’s Like to Work at Compound We operate with integrity, communicate with transparency, and take accountability seriously. You’ll work alongside high performing colleagues across advisory, engineering, tax, and operations - people who hold themselves, and each other, to a high standard. Compound is built for people who want to move quickly, build something enduring, and collaborate with a team aligned around a shared mission. An $84 trillion wealth transfer is reshaping the financial landscape. Compound is building the financial institution designed for that future and our Chief Compliance Officer will play a critical role in shaping how we get there.

## About Compound Planning, Inc.

## Company Overview
- **One-liner**: Compound Planning is a modern digital family office that provides integrated wealth management, tax, investment, and estate planning services for entrepreneurs, professionals, and families.
- **Entity Type**: Private (Investor-backed)
- **Headquarters**: New York, NY, United States
- **Founded**: Not publicly available
- **Founders**: Alex Farman-Farmaian (Co-Founder & CEO)

## Core Business
- **Primary industries**: Wealth management, financial advisory, tax planning & filing, investment management, estate planning.
- **Target customers**: B2C – entrepreneurs, tech professionals, retirees, and high-net-worth families in the United States.
- **Mission**: “Compound helps entrepreneurs, professionals, retirees, and families achieve their financial goals. You can think of us as your family office — a single place to manage your taxes, investments, and borrowing.” [compoundplanning.com/faq](https://compoundplanning.com/faq)

## Products & Services
- **Financial Planning & Goal Modeling**: Personalized multi-year financial plans built with proprietary software, covering IPO forecasting, retirement, estate, and diversification strategies.
- **Tax Advising & Filing**: Specialized tax planning and filing for stock option exercise, charitable giving, and capital call tracking.
- **Investment Management**: Public equities and alternative asset investing (venture capital, real estate, private equity, fixed income) with access to top custodians (Fidelity, Schwab).
- **Estate Planning**: Assistance with trusts (e.g., GRATs), wealth transfer, and coordination with law firms.
- **Borrowing Products**: Portfolio lines of credit, stock option financing, mortgages, and other loans.
- **Philanthropic Planning**: Establishment of donor-advised funds (DAFs) and foundations.
- **Document Management & Balance Sheet Tracking**: Centralized tracking and management of financial documents and net worth.

*All services are delivered through a combination of a digital platform and dedicated human advisors.*

## Market Standing
- **Valuation/Market Cap**: Not disclosed
- **Key Metric**: $4.8 billion in regulatory assets under management (AUM) as of March 2026 (latest Form ADV filing). The company’s website cites “over $5 billion”. [rialytix.com](https://www.rialytix.com/crd/171787/compound-planning-inc)
- **Notable Investors/Partners**: Greenoaks, Egon Durban, Lachy Groom, Y Combinator, and leaders from Goldman Sachs, Stripe, and Meta. [compoundplanning.com/faq](https://compoundplanning.com/faq)
- **Growth Signals**:
  - 119 employees (up from 6 in the past 10 years, a +1,883% increase)
  - 8,708 client accounts and 25 offices across the U.S.
  - AUM grew from $100M to $4.8B over the same period (+4,709%)
  - Actively hiring across multiple roles, as shown by a dedicated careers page on Ashby.

## Competitive Advantages
- **Digital Family Office Model**: Combines the personal touch of a trusted advisor with a modern, beautiful digital experience — addressing gaps left by robo-advisors and traditional private banks.
- **No Minimum Asset Requirement**: Accessible to a wider audience than typical wealth management firms.
- **Fiduciary Standard**: Legally obligated to prioritize client interests; all advisors are fiduciaries.
- **Deep Tech/Equity Expertise**: Specialized knowledge in stock options, equity compensation, and tax strategies for technology professionals.
- **Integrated Service Stack**: Taxes, investments, borrowing, estate planning – all under one roof, eliminating the need for multiple disconnected vendors.

## Strategic Focus
- **Scaling the Platform**: Growing the advisor team and client base while maintaining high-touch service.
- **Vertical Integration**: Continuing to add in-house capabilities (e.g., tax filing, borrowing) to reduce reliance on external partners.
- **Technology-First Innovation**: Building proprietary modeling software and a cohesive digital experience to differentiate from traditional wealth managers.
- **Hiring for Growth**: Emphasizing “kind and ambitious” talent across engineering, advisory, and operations roles, with a hybrid/remote-friendly culture.

## Why Work Here
- **Culture**: Described as a team of engineers who understand equity modeling and financial advisers who follow Hacker News – a blend of technical rigor and genuine care for clients.
- **Remote/Hybrid Policy**: Headquartered in New York with team members across North America and Europe; offices in California, Idaho, Iowa, New York, and Ohio. Supports flexible and distributed work.
- **Notable Perks**: Opportunity to work on cutting-edge wealth management technology; influence over a rapidly growing platform; collaborative environment with low hierarchy.
- **Engineering Culture**: Emphasis on building beautiful, purpose-built software; engineers are directly involved in solving complex financial planning problems.

## Sources
1. [compoundplanning.com](https://compoundplanning.com/)
2. [compoundplanning.com/company/about](https://compoundplanning.com/company/about)
3. [compoundplanning.com/faq](https://compoundplanning.com/faq)
4. [rialytix.com/crd/171787/compound-planning-inc](https://www.rialytix.com/crd/171787/compound-planning-inc)
5. [jobs.ashbyhq.com/compound](https://jobs.ashbyhq.com/compound)

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