Vice President, Legal – Chief Compliance Officer

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🔥 3 minutes ago

🇺🇸 United States – Remote

💵 $186.5k - $300k / year

⏰ Full Time

🔴 Lead

👔 Vice President

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SmartAsset

WebsiteLinkedInAll Job Openings

201 - 500 employees

Founded 2013

💼 Consulting

🛡️ Insurance

💸 Finance

Consulting • Insurance • Finance

SmartAsset is a company that offers comprehensive financial planning tools and resources. It provides calculators for mortgages, taxes, investments, retirement, and personal loans, helping users make informed financial decisions. SmartAsset connects users with vetted financial advisors through its matching platform, focusing on fiduciaries who are legally bound to act in the client's best interest. The company does not provide direct investment management but facilitates connections between users and financial professionals. SmartAsset also offers guides and reviews on various financial products and services to aid users in their financial journeys.

📋 Description

• Serve as the firm's designated Chief Compliance Officer • Own SEC regulatory compliance, required filings, examinations, and regulatory inquiries • Lead the development, execution, and continuous improvement of the compliance framework • Oversee policies, risk assessments, testing, monitoring, training, and annual regulatory reviews • Serve as the company's senior legal advisor • Oversee commercial agreements, corporate governance, employment-related legal matters, intellectual property, disputes, and outside counsel relationships • Advise executive leadership and cross-functional teams on legal and regulatory considerations involving products, technology, client experiences, commercial partnerships, and AI • Oversee legal and compliance considerations related to information security, SOC 2 Type 2, data privacy, corporate governance, and employee benefit plan fiduciary responsibilities • Help shape business strategy and enable sustainable growth

🎯 Requirements

• JD and active license to practice law in at least one U.S. jurisdiction • 10+ years of progressive legal and regulatory compliance experience • Substantial experience within SEC-registered investment advisors, wealth management, or regulated financial services • Proven senior-level leadership experience • 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 • Experience managing SEC examinations, regulatory risk, compliance programs, and complex commercial and corporate legal matters • Strong executive presence, sound judgment, and ability to advise senior leaders and balance regulatory requirements with business objectives • Hands-on, solutions-oriented approach • Ability to operate independently and effectively in a fast-paced environment • 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

🏖️ Benefits

• Fully remote work within the contiguous U.S. • Multiple medical, dental, and vision plan options through trusted national carriers • Company-paid Life/AD&D coverage • Supplemental life and disability plan options • 401(k) with employer match • FSA and HSA options • Equity packages offered for every role • Generous vacation, sick, and parental leave policies • Home office stipend • Employee Assistance Program (EAP)

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