Remote opportunity at
SmartAssetVice President, Legal & Chief Compliance Officer
SmartAsset operates an online platform providing consumer financial information, educational materials, calculators, and tools, while also running the SmartAsset Advisor Marketing Platform (AMP) that links users…
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About This Role
SmartAsset operates an online platform providing consumer financial information, educational materials, calculators, and tools, while also running the SmartAsset Advisor Marketing Platform (AMP) that links users with fiduciary financial advisors. The company is currently hiring a Vice President, Legal & Chief Compliance Officer to direct its legal and regulatory operations on a fully remote basis within the contiguous United States. This senior leadership position suits an accomplished attorney capable of…
Job Description
SmartAsset operates an online platform providing consumer financial information, educational materials, calculators, and tools, while also running the SmartAsset Advisor Marketing Platform (AMP) that links users with fiduciary financial advisors. The company is currently hiring a Vice President, Legal & Chief Compliance Officer to direct its legal and regulatory operations on a fully remote basis within the contiguous United States. This senior leadership position suits an accomplished attorney capable of acting as the designated Chief Compliance Officer and primary internal legal advisor. The person in this role will guide enterprise legal risk, oversee regulatory compliance, collaborate with executive leadership, and support sustainable corporate growth while balancing business objectives with complex regulatory demands.
Responsibilities
- Serve as the designated Chief Compliance Officer with responsibility for SEC regulatory compliance, examinations, regulatory inquiries, and filings
- Design, execute, and continuously improve the compliance framework including policies, risk assessments, testing, training, and annual reviews
- Manage commercial agreements, corporate governance, employment legal matters, intellectual property, disputes, and outside counsel
- Advise executives and cross-functional teams regarding products, technology, commercial partnerships, and artificial intelligence
- Oversee legal and compliance aspects of information security, data privacy, SOC 2 Type 2, and employee benefit plan fiduciary duties
Requirements
- Juris Doctor degree and an active license to practice law in at least one United States jurisdiction
- Minimum of 10 years of progressive legal and regulatory compliance experience
- Substantial work history within SEC-registered investment advisors, wealth management, or regulated financial services
- Demonstrated senior leadership background with direct accountability for legal affairs and an SEC-registered investment advisor compliance program
- Comprehensive knowledge of SEC regulations including Rule 206(4)-7 and the SEC Marketing Rule
- Legal authorization to work in the United States without visa sponsorship
Qualifications
- Background in wealthtech, fintech, or fast-growing technology companies
- Advisory experience concerning digital financial products, artificial intelligence, data privacy, or technology regulations
- Familiarity with SOC 2 Type 2, information security governance, and fiduciary oversight
Core Skills
Benefits
- Fully remote work structure within the contiguous United States
- Comprehensive medical, dental, and vision insurance options
- Company-paid life and AD&D coverage with optional supplemental plans
- 401(k) retirement plan with employer matching
- Pre-tax flexible spending accounts and health savings accounts
- Equity packages offered for every role
- Vacation, sick leave, and parental leave policies
- Home office stipend
- Employee Assistance Program
Frequently Asked Questions
Answers are based only on the employer’s listing; where it doesn’t say, neither do we.
What is the salary range for the Vice President, Legal & Chief Compliance Officer role?
The compensation ranges from USD 186,500 to 300,000 per year, plus equity packages and available benefits.
Is this position remote?
Yes, all roles are fully remote within the contiguous United States.
Does SmartAsset provide visa sponsorship for this position?
No, applicants must be legally authorized to work in the United States, and SmartAsset is unable to offer employment visa sponsorship now or in the future.
Sample Interview Questions
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