VP Compliance jobs in United States
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Vest · 17 hours ago

VP Compliance

positionUnited States
timeFull-time
remoteRemote
seniorityMid, Senior Level
date6+ years exp

Vest Financial is a rapidly growing investment management firm specializing in Target Outcome Strategies. As VP of Compliance, you will serve as a key leader within the Compliance department, managing regulatory strategy and compliance programs while overseeing new regulations and product launches.

Asset ManagementCrowdfundingFinanceFinancial ServicesFinTechInsuranceRetirementTrading PlatformVenture Capital
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Senior Management

Responsibilities

Independently interpret and determine the firm’s response to new or changing SEC/FINRA/NFA and other applicable regulations, driving the implementation of enhancements to the compliance program
Partner with product development and investment teams to evaluate the compliance implications of new derivatives-based strategies and product launches, ensuring regulatory alignment from inception to market
Serve as a lead advisor on compliance considerations for new lines of business, assessing risk and establishing the necessary governance frameworks
Oversee and assist with the drafting, monitoring, and enforcement of firm-wide compliance policies, ensuring they remain robust in a fast-paced, evolving environment
Lead the firm’s response to complex due diligence requests and inquiries from regulators, business partner firms, and other stakeholders

Qualification

Compliance expertiseFederal securities lawsSEC regulationsInvestment adviser experienceJuris Doctor (J.D.)

Required

6-10+ years' experience in the compliance department of an SEC-registered investment adviser and/or broker-dealer, law firm, or similar experience
Expertise and knowledge of federal securities laws, including 1940 Act, 1933 Act, 1934 Act and Advisers Act
Bachelor's degree
May work remotely but must reside in the U.S. and work during East Coast business hours
Comfortable working in a fast paced, startup-like environment

Preferred

Series 7 and/or Juris Doctor (J.D.) is a plus but not required

Benefits

401(k) with matching contribution
Competitive medical, dental, and vision coverage for you and your dependents
Remote-first company
Flexible PTO
Paid parental leave
Quarterly performance bonuses

Company

Vest

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$50+ Billion* Milestone Achieved | Target Outcome Investments® Pioneers Most investments target speculative returns with uncertain risk over uncertain timeframes.
dateFounded in 2012
location
Mclean, Virginia, USA
people-size11-50 employees
web-link
https://www.vestfin.com/

Funding

Current Stage
Early Stage
Total Funding
$1.47M
2016-01-25Acquired
2015-06-01Series Unknown· $0.75M
2015-03-22Seed· $0.72M

Leadership Team

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Karan Sood
Chief Executive Officer
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Jeff Chang
President & Co-Founder
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Recent News

Business Wire
First Trust Advisors Announces Proposed Reorganization of Four Vest Advised Mutual Funds into Four First Trust Advised Mutual Funds
2025-10-31
Business Wire
Vest, Known for Pioneering Buffer Funds, Launches Synthetic Borrow™, Using Listed Derivatives to Revolutionize Portfolio-Based Financing
2025-10-29
Business Wire
First Trust Expands Target Outcome® Lineup with Launch of DGOC, A 10% Buffer ETF that Seeks to Provide Positive Return Potential in Up, Flat, and Modestly Down Markets
2025-10-21
Company data provided by crunchbase