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Director of Compliance



New York, NY, USA
Posted on Friday, September 1, 2023

Who Are We?

There are over 30M small businesses in the United States, but only a tiny fraction of them have a workplace savings program in place. As the savings gap in the country widens, it’s imperative that every worker has access to and participates in their company’s savings program, such as a 401(k) or 403(b). We believe that American workers should have easy access to an inexpensive, flexible, and intuitive solution to save for a brighter future.

Unfortunately, prior to Vestwell, small businesses have been neglected and underserved, with expensive, inflexible, poorly designed offerings built on old, mainframe software. Vestwell is changing that, starting with rebuilding the core infrastructure for the modern era.

Vestwell’s north star is to be the engine behind a $30T industry, powering all payroll-deducted workplace savings programs for small-to-midsize businesses, such as 401(k), 403(b), IRA, emergency savings accounts (ESA), health savings accounts (HSA), 529 college savings, and alike.

Vestwell’s focus is to build the most flexible, powerful workplace savings and investment platform, delivered through the hands and minds of their financial services partners with the help of payroll provider partners. The team at Vestwell makes the hard stuff look easy, by combining the expertise of financial advice with the sophistication of a technology provider.

As a result, workplace providers are able to bestow the advice and solution employers and employees have been asking for, while growing and scaling along the way. Employers get a cost-effective solution designed for their needs without all the headaches, and employees get a user-friendly portal that helps them achieve their long-term saving goals.

Why Vestwell?

With backing from leading FinTech investors, as well as a growing team of dedicated professionals of strong industry pedigree, Vestwell is at the forefront of a much-needed change in a 40-year old industry. Our team believes in the mission we’ve set out to achieve and we are working hard to get there. We’re ambitious, honest, thoughtful, and fun.


We are seeking an energetic and reliable professional to join our Legal and Compliance Team as a Director of Compliance. The successful candidate will be responsible for working directly with our internal business and information security teams by managing vendor oversight, contract administration, oversee and manage our security audits (SOC), licensing exams, and other legal, corporate, and regulatory functions.

The successful candidate must be agile, with a demonstrated ability to pivot and manage a workload properly and timely, and able to work as part of a close-knit team in a fast-paced environment of a highly regulated financial services company.


  • 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.


  • 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.

Vestwell values people from all walks of life. We understand not everyone will meet all the above qualifications on day one. That's okay. If you’re passionate about financial wellness, technology, compliance, and want to grow your skills, we encourage you to apply.

The reasonably estimated salary for this role at Vestwell ranges from $115,000-$135,000, plus a competitive equity package, and potential to participate in the company bonus pool. Actual compensation is based on factors such as the candidate's skills, qualifications, and experience. In addition, Vestwell offers a wide range of best in class, comprehensive and inclusive employee benefits for this role including healthcare, dental, parental planning, a 401(k) plan and contribution, paid time off, and well-being and peripherals stipend.

Our Benefits

We’re a growth stage startup with lots of exciting milestones ahead. We value health and wellness at Vestwell and in addition to a dedicated Employee Wellbeing Committee, we offer competitive health coverage and an open vacation policy. We have adopted a remote-hybrid office policy, but all employees are welcome at our bright, comfortable office with many workspace options in midtown Manhattan so everyone has a setting that is the most productive for them. We provide our team with all the equipment they need (plus a few perks!) to work effectively remotely. Oh, and naturally we have a great 401(k) plan!