121 Chief Compliance Officer Jobs in Austin, TX
SORT BY
C
C
C
C
A
A
A
E
J
S
T
K
T
U
T
T
K
2
T
Texas Health Services Authority (Statewide HIE)
Austin, TX | Full Time
$235k-324k (estimate)
2 Weeks Ago
A
A
E
r
r
r
r
r
G
Compound is Hiring a Chief Compliance Officer Near Austin, TX
OverviewCompound Planning, an SEC registered investment advisor with over $2.2B in AUM, 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 Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey.
What You’ll Do
We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. 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 General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program.
- Experience to operate with little dependence on outside consultants to protect the company from compliance 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.
- Conduct ongoing training and education.
- Identify and assess compliance risks, proposing and implementing risk mitigation strategies. Work closely with internal teams to integrate risk management into business processes and cybersecurity.
- Lead compliance onboarding of new clients and offboarding of departing clients.
- Foster and champion a culture of compliance.
- Extensive experience in a compliance role preferably with SEC RIAs and/or Fintechs, including working knowledge of Forms CRS and ADV, U4 and 5, Advisory Agreements, the Custody rule, and Reg S-ID. Direct experience with 13F filings, trade reconciliation and reviews and mock audits and SEC exams. 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 of 1940 and SEC rules and regulations.
- 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 change
Job Summary
JOB TYPE
Full Time
SALARY
$209k-295k (estimate)
POST DATE
08/23/2024
EXPIRATION DATE
09/19/2024
WEBSITE
xkey.com
HEADQUARTERS
Ca
SIZE
<25
Related Companies
Show more
The job skills required for Chief Compliance Officer include Leadership, etc. Having related job skills and expertise will give you an advantage when applying to be a Chief Compliance Officer. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Chief Compliance Officer. Select any job title you are interested in and start to search job requirements.
Show more
Similar Jobs
Deputy Chief Compliance Officer
View Jobs
Chief Corporate Compliance Officer
View Jobs
General Counsel and Chief Compliance Officer
View Jobs
Chief Domestic Ethics and Compliance Officer
View Jobs
Chief Global Ethics and Compliance Officer
View Jobs
Chief Sarbanes Oxley Compliance Executive
View Jobs
Popular Articles
Top 10 Things to Avoid Putting on a Job Application
Read Article
How to Describe Your Education in a Resume
Read Article
How to Write a Memorable Cover Letter in 5 Ways
Read Article
4 Personal Finance Tips to Make During Job Transition
Read Article
4 Best Camera Setups for Interview
Read Article
Keeping a Job Search Journal: 9 Types of Journaling You Can Do
Read Article
