Vice President, Legal & Chief Compliance Officer

• 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.

Experience

• 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.

Salary and Perks

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).