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Vice President, Legal & Chief Compliance Officer

RemoteRemoteFull TimeVice President$186,500–$300,000 /yrPosted 2 days ago

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Required skills

  • SEC-registered investment advisor
  • wealth management
  • regulated financial services
  • SEC regulations
  • SEC Marketing Rule
  • RIA compliance
  • SEC examinations
  • regulatory risk
  • compliance programs
  • commercial agreements

Nice to have

  • wealthtech
  • fintech
  • high-growth technology businesses
  • digital financial products
  • AI
  • technology-related regulatory matters

Role summary

SmartAsset is seeking a Vice President, Legal & Chief Compliance Officer to lead its legal and regulatory compliance functions. This senior leadership role requires an experienced attorney with deep expertise in SEC-registered investment advisor compliance and navigating complex legal/regulatory matters. The CCO will oversee the compliance program, provide senior legal advisory, manage commercial agreements, corporate governance, IP, and employment law, and advise on product, technology, and AI-related legal considerations. Key responsibilities include managing SEC examinations, regulatory risk, and information security/data privacy compliance. The role emphasizes a hands-on, solutions-oriented approach within a fast-paced, remote environment.

Vice President, Legal & Chief Compliance Officer

at SmartAsset

Remote, Contiguous United States

About SmartAsset:

SmartAsset is an online destination for consumer-focused financial information, educational content, personalized calculators, and tools. Our mission is to help people make smart financial decisions, reaching an estimated 23 million people each month through our educational content, publishing partners, calculators, and tools.*

To extend that mission, we also operate the SmartAsset Advisor Marketing Platform (AMP), which helps connect consumers with participating fiduciary financial advisors. SmartAsset has been recognized as a 2025 ThinkAdvisor Luminaries winner in the Firm Award – Product or Service Innovation category and was ranked #2574 on the Inc. 5000 list in 2023. SmartAsset has also been featured on Y Combinator’s list of Top Companies, a curated compilation rather than a numerical ranking.**

*Based on average monthly reach data for 2025 across SmartAsset-owned properties and publishing partners.

**Other than application, licensing, or similar administrative fees, SmartAsset did not provide compensation in connection with the referenced awards or recognitions.

About the Role

SmartAsset is seeking an experienced, strategic, and hands-on Vice President, Legal & Chief Compliance Officer to lead our legal and regulatory compliance functions. This is a senior leadership opportunity for an accomplished attorney with deep experience in SEC-registered investment advisor compliance and a proven ability to navigate complex legal and regulatory matters in a dynamic business environment.

As our VP, Legal & Chief Compliance Officer, you will serve as the firm's designated Chief Compliance Officer and senior internal legal advisor, helping shape business strategy while overseeing legal affairs, regulatory compliance, and enterprise legal risk. You'll work closely with leaders across the organization to develop practical solutions that protect the company, support innovation, and enable sustainable growth.

What You'll Do

  • 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.

    • What We're Looking For

  • 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.

    • 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.

    • Physical Requirements:

  • Prolonged periods of sitting at a desk and working on a computer
  • Must be able to communicate via phone calls and/or video conferences (mainly for concierge and sales roles)

    • Available Benefits and Perks:

  • Fully Remote Work: All roles are fully remote within the contiguous U.S., giving you flexibility to do your best work from where you thrive.
  • Comprehensive Health Coverage: Multiple Medical, Dental, and Vision plan options through trusted national carriers—so you can choose what fits your needs.
  • Life & Disability Protection: Company-paid Life/AD&D coverage, with options to add supplemental life and disability plans for extra peace of mind.
  • 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—because balance matters.
  • Additional Perks: Home office stipend and Employee Assistance Program (EAP)

    • 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.

    SmartAsset is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, disability, genetic information, citizenship status or any other characteristic protected by applicable law. If you have a disability or special need that requires accommodation, please contact us at Recruiting@smartasset.com.

    Salary at SmartAsset is determined based on permissible, non-discriminatory factors such as skills, experience, and geographic location within the contiguous United States. The compensation for this role is [$186,500- $300,000] + RSUs + benefits.

    Ready to apply?
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