Director of Compliance
Posted on 9/1/2023

201-500 employees

Digital 401(k) recordkeeping platform

Company Stage


Total Funding





New York, New York

Growth & Insights

6 month growth


1 year growth


2 year growth

New York, NY, USA
Experience Level
Desired Skills
Legal & Compliance
  • Bachelor's degree required
  • Minimum of 7 years paralegal experience with an in-house legal department or law firm
  • Ability to manage multiple tasks simultaneously with attention to detail while working in a fast-paced, deadline-driven environment
  • Ability to deliver results with a sense of urgency
  • Must be a collaborative team player with the ability to leverage resources and tools to accomplish objectives
  • Excellent time management, organizational, problem-solving, and research skills
  • Ability to exercise good business judgment, discretion, and maintain confidentiality of sensitive information
  • Strong written and verbal communication skills
  • Professional and positive demeanor
  • Excellent attention to detail and accuracy, proficient with numbers and basic calculations
  • Proven ability to problem-solve and synthesize information quickly and be familiar with G-Suite, Microsoft Office, Slack, Zoom, Adobe Acrobat, DocuSign, Atlassian applications, and legal research and software applications
  • Serve as point of contact for Vendor Managers and the Vestwell Risk Committee and lead the vendor due diligence and approval process
  • Conduct annual and quarterly due diligence vendor reviews for all vendor risk levels, including reviewing materials requested, assessing risks, and summarizing them for the Risk Committee
  • Assist annually in reviewing and revising Vestwell's contract templates
  • Provide advice, guidance, and negotiating and drafting support to colleagues with strategic commercial contracts to achieve commercially practical solutions
  • Serve as lead point person for Vestwell's annual SOC 1 and SOC 2 audits
  • Coordinate the annual review of security and compliance policies with relevant internal stakeholders and documents for auditor review, including writing, reviewing and analyzing security policies and procedures and all technical documentation
  • Take ownership of the SOC controls and coordinate with the CTO, CISO, SVP IS & Compliance, and other business unit leaders that all processes and procedures are reviewed and updated on an annual basis
  • Interact and liaise with internal stakeholders to identify key controls and coordinate appropriate measurement efforts for process improvement
  • Responsible for supporting the day-to-day administration and handling of custody relationships, requiring knowledge of securities and custody administration
  • Take a leadership role in representing Vestwell Trust Company and Vestwell Advisors during regulatory examinations, meetings, and inquiries, including the submission of exam materials and responding to follow up requests
  • Participate in the governance of Vestwell subsidiaries, including the following: amending formation documents, bylaws or operating agreements, board charters, qualification documents and filings, drafting consents, resolutions, drafting agendas and meeting minutes, including assisting in the creation of presentations and board materials
  • Work with the Head of People Team and General Counsel on revising the Employee Handbook on an annual basis
  • Maintain Vestwell Advisors, LLC's FINRA Gateway, including filings of U-4s and U-5s
  • Serve as the gatekeeper of the Compliance Management application (Orion Compliance), ensuring that all new hire and current hire certifications are distributed, completed, and tracked
  • Work collaboratively with the General Counsel to address issues as they arise (e.g., legal hold notices, responding to notices, subpoenas, legal inquiries, etc.)
  • Participate in special projects as assigned by the General Counsel
  • Ability to supervise direct reports and seasonal interns and offer guidance and direction