Vice President, Legal & Chief Compliance Officer

The role

The Vice President, Legal & Chief Compliance Officer will lead legal and regulatory compliance functions. This person will serve as the designated Chief Compliance Officer and senior internal legal advisor to shape business strategy and oversee enterprise legal risk.

What you will do

• Serve as the firm's designated Chief Compliance Officer.
• Accountability for SEC regulatory compliance, required filings, examinations, and regulatory inquiries.
• Lead the development, execution, and continuous improvement of the firm's compliance framework.
• Oversee commercial agreements, corporate governance, employment-related legal matters, intellectual property, and disputes.
• Manage outside counsel relationships.
• Advise executive leadership and cross-functional teams on legal and regulatory considerations.
• Oversee legal and compliance considerations related to information security, SOC 2 Type 2, data privacy, corporate governance, and employee benefit plan fiduciary responsibilities.

Required qualifications

• JD and active license to practice law in at least one U.S. jurisdiction.
• 10+ years of progressive legal and regulatory compliance experience, including substantial experience within SEC-registered investment advisors, wealth management, or regulated financial services.
• Proven senior-level leadership experience, with direct accountability for legal matters and oversight of an SEC-registered investment advisor's compliance program.
• Deep knowledge of SEC regulations, including Rule 206(4)-7, the SEC Marketing Rule, and applicable RIA compliance requirements.
• Demonstrated experience managing SEC examinations, regulatory risk, compliance programs, and complex commercial and corporate legal matters.
• Strong executive presence, sound judgment, and the ability to advise senior leaders and balance regulatory requirements with business objectives.
• A hands-on, solutions-oriented approach, with the ability to operate independently and effectively in a fast-paced environment.
• Prolonged periods of sitting at a desk and working on a computer
• Must be able to communicate via phone calls and/or video conferences

Nice to have

• Experience in wealthtech, fintech, or high-growth technology businesses.
• Experience advising on digital financial products, AI, data privacy, or technology-related regulatory matters.
• Familiarity with SOC 2 Type 2, information security governance, and fiduciary oversight.

Benefits

• Fully Remote Work
• Multiple Medical, Dental, and Vision plan options
• Company-paid Life/AD&D coverage
• Options to add supplemental life and disability plans
• 401(k) with employer match
• Pre-tax savings through FSA and HSA options
• Equity packages
• Generous vacation, sick, and parental leave policies
• Home office stipend
• Employee Assistance Program (EAP)

Before you apply

• Applicants must be legally authorized to work in the United States.
• SmartAsset is unable to provide employment visa sponsorship for this position, now or in the future.

About the company

SmartAsset is an online destination for consumer-focused financial information, educational content, personalized calculators, and tools. It operates the SmartAsset Advisor Marketing Platform (AMP) to connect consumers with participating fiduciary financial advisors.