Compound

• Work directly with clients in Des Moines on their financial decisions • Partner with technology team to innovate product roadmap • Spend more time advising and building business

• Drive consistent, predictable outbound volume • Pressure-test the tooling • Build and run personalized-at-scale outbound across email and LinkedIn • Write outreach that earns replies • Own the booked meetings number

• 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.

• Design, build, and maintain high-quality applications. • Lead feature implementation and own the end-to-end delivery of new features and enhancements, from concept to deployment. • Design elegant, scalable, and maintainable software solutions to solve complex business problems. • Collaborate closely with designers, product managers, and engineers to bring ideas to life. • Contribute to system architecture, ensuring performance, scalability, and security. • Review code, mentor teammates, and share best practices to elevate team performance. • Triage and resolve software defects, continuously improving application quality and user experience. • Stay at the forefront of development trends and innovations, driving technical excellence while delivering for the business. • Actively participate in agile software development, including planning, code reviews, demo and retrospectives.

• Identify potential customers and research their financial needs • Drive customer meetings for financial advisors through outbound emails and phone calls • Identify the needs of prospects, and suggest appropriate resources and next steps • Facilitate the experience through our sales funnel, ensuring client needs are met as they’re connected with Financial Advisors, tax professionals, and other members of our team • Conduct ad hoc projects that improve Compound's lead generation playbook

• Own execution across the product lifecycle: Partner directly with financial advisors and operations staff to deeply understand workflows, pain points, and opportunities • Rapidly translate user needs into product improvements and new features • Write clear specs that engineers can run with — not 40-page PRDs, but enough to ship confidently • Make pragmatic, high-quality decisions with imperfect information • Measure what matters — define success metrics, instrument features, and use data to iterate • Collaborate across the team: Work closely with engineering to scope, prioritize, and ship — you'll be in the code reviews, not just the standups • Handle light design work initially; partner with external design resources as needed until we build internal design capacity • Communicate tradeoffs clearly to leadership — no jargon, just clear thinking • Shape our AI-first roadmap: Contribute to defining how AI agents will transform wealth management • Go deep on model evals, agent architecture, and production deployment of AI tools • Help build our Copilot — a natural-language interface for advisors to query client context

• Lead operational onboarding and implementation of the our new cash management platform • Design, document, and continuously improve cashiering SOPs, workflows, controls, and exception handling procedures • Translate real-world cashiering scenarios into scalable system rules and operational best practices • Serve as the internal subject matter expert on cashiering workflows and platform functionality • Process a portion of daily cashiering transactions (ACH, wires, journals, contributions, distributions, etc.) to stay connected to live operations • Act as a quality control reviewer, identifying trends, risks, and opportunities for improvement • Develop reporting and metrics that provide leadership visibility into cash movement volumes, turnaround times, and exception rates • Partner with Operations, WMAs, Engineering, and Compliance to ensure processes are efficient, compliant, and scalable • Identify workflow inefficiencies and propose system or process enhancements • Support training of team members on new cashiering workflows and platform tools • Serve as an escalation point for complex or high-risk cashiering scenarios