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Chief Compliance Officer

Aidoos

United States
Chief Compliance Officer

Join SmartAsset as the Vice President, Legal & Chief Compliance Officer, where you will play a critical role in overseeing regulatory compliance and legal strategy within the organization. You will lead the compliance program, ensuring adherence to SEC regulations, and serve as the senior legal advisor on various corporate matters. This remote position offers an opportunity to work in a dynamic environment, advising on innovative financial solutions and navigating the complexities of regulatory compliance.

Key Responsibilities

  • Serve as the designated Chief Compliance Officer, ensuring SEC regulatory compliance.
  • Lead the development and execution of the firm's compliance framework.
  • Oversee all legal matters, including commercial agreements and corporate governance.
  • Advise executive leadership on legal and regulatory considerations across the business.
  • Manage legal and compliance aspects related to information security and data privacy.

Required Skills & Qualifications

  • Juris Doctor (JD) and active law license in at least one U.S. jurisdiction.
  • 10+ years of legal and regulatory compliance experience in financial services.
  • Deep knowledge of SEC regulations and compliance requirements.
  • Proven leadership experience in managing compliance programs and SEC examinations.
  • Strong executive presence and ability to balance regulatory and business objectives.
Apply
Vacancy posted 19 hours ago
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