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Vice President, Legal & Chief Compliance Officer at SmartAsset. Location Information: United States. An award-winning NYC-based financial technology company that helps millions of people make smart financial decisions.. Own Regulatory Compliance: Serve as the firm's designated Chief Compliance Officer, with accountability for SEC regulatory compliance, required filings, examinations, and regulatory inquiries.. Oversee the Compliance Program: Lead the development, execution, and continuous improvement of the firm's compliance framework, including policies, risk assessments, testing, monitoring, training, and annual regulatory reviews.. Lead Legal Strategy & Advisory: Serve as the company's senior legal advisor, overseeing commercial agreements, corporate governance, employment-related legal matters, intellectual property, disputes, and outside counsel relationships.. Partner Across the Business: Advise executive leadership and cross-functional teams on legal and regulatory considerations related to products, technology, client experiences, commercial partnerships, and emerging areas such as AI.. Provide Risk & Governance Oversight: Oversee legal and compliance considerations related to information security, SOC 2 Type 2, data privacy, corporate governance, and employee benefit plan fiduciary responsibilities.. 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.. Experience in wealthtech, fintech, or high-growth technology businesses (nice to have).. Experience advising on digital financial products, AI, data privacy, or technology-related regulatory matters (nice to have).. Familiarity with SOC 2 Type 2, information security governance, and fiduciary oversight (nice to have).. Prolonged periods of sitting at a desk and working on a computer.. Must be able to communicate via phone calls and/or video conferences.. Pay range:. $186K - $300K. Fully Remote Work: All roles are fully remote within the contiguous U.S.. Comprehensive Health Coverage: Multiple Medical, Dental, and Vision plan options through trusted national carriers.. Life & Disability Protection: Company-paid Life/AD&D coverage, with options to add supplemental life and disability plans.. Financial Wellness: 401(k) with employer match, pre-tax savings through FSA and HSA options, and equity packages offered for every role.. Time Off That Works: Generous vacation, sick, and parental leave policies.. Additional Perks: Home office stipend and Employee Assistance Program (EAP).