Vice President, Legal & Chief Compliance Officer
About The Position
SmartAsset is seeking an experienced, strategic, and hands-on attorney to lead its legal and regulatory compliance functions. The role serves as the firm's designated Chief Compliance Officer and senior internal legal advisor, shaping business strategy while overseeing legal affairs, regulatory compliance, and enterprise legal risk. The VP works closely with leaders throughout the organization to develop practical solutions that protect the company, support innovation, and enable sustainable growth. SmartAsset is an online destination for consumer-focused financial information, educational content, personalized calculators, and tools. Its mission is to help people make smart financial decisions. The company also operates the SmartAsset Advisor Marketing Platform (AMP), which connects consumers with participating fiduciary financial advisors.
Requirements
- Juris Doctor degree and an 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.
- 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.
- 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 and ability to operate independently in a fast-paced environment.
- Legally authorized to work in the United States; employment visa sponsorship is not available.
Nice To Haves
- 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.
Responsibilities
- Serve as the firm's designated Chief Compliance Officer, accountable for SEC regulatory compliance, required filings, examinations, and regulatory inquiries.
- Lead the development, execution, and continuous improvement of the compliance framework, including policies, risk assessments, testing, monitoring, training, and annual regulatory reviews.
- Serve as the company's senior legal advisor, overseeing 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 concerning products, technology, client experiences, commercial partnerships, and emerging areas such as AI.
- Oversee legal and compliance considerations related to information security, SOC 2 Type 2, data privacy, corporate governance, and employee benefit plan fiduciary responsibilities.
Benefits
- Multiple medical, dental, and vision plan options through national carriers.
- Company-paid Life/AD&D coverage, with options for supplemental life and disability plans.
- 401(k) with employer match.
- Pre-tax savings through FSA and HSA options.
- Equity packages offered for every role.
- Generous vacation, sick, and parental leave policies.
- Home office stipend.
- Employee Assistance Program (EAP).
- Fully remote work within the contiguous United States.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Executive
Education Level
Ph.D. or professional degree
