Chief Legal & Compliance Officer — Remote

Seeds; United States; À distance; USD 180 000 - 240 000; Plein temps

Avantages offerts par ce poste

Medical, dental, vision, life and disa

Open PTO

Remote work flexibility

Résumé du poste

Seeds Investor offers a leadership role as Head of Legal & Chief Compliance Officer to scale a compliance program at the intersection of wealth tech and financial services. The role oversees commercial, corporate, regulatory, data/privacy, and security matters, including SOC 2 Type 2, and serves as the primary liaison with regulators and auditors.

You will guide policy, training, and risk assessment, collaborating with product, engineering, and operations to embed compliance throughout the

Qualifications

• J.D. or advanced degree preferred but not required.
• 7+ years of experience in RIA compliance, preferably with exposure to SEC-registered firms and/or wealthtech platforms.
• Deep knowledge of the Investment Advisers Act of 1940, SEC Marketing Rule, Custody Rule, and related regulations.
• Experience leading or supporting SEC examinations preferred.
• Experience bridging regulatory requirements and product development across digital advice platforms and portfolio management systems.
• Strong project management and startup environment skills.
• Demonstrated experience leading a SOC 2 Type 2 certification (or comparable security attestation/framework such as ISO 27001, NIST) from readiness through report issuance, including managing auditors and a GRC/continuous-monitoring platform.

Responsabilités

• Own and scale our compliance program, drafting and supervising policies.
• Serve as designated Chief Compliance Officer under SEC regulations and manage regulatory filings.
• Lead SOC 2 Type 2 effort end-to-end, including auditor management and evidence collection.
• Partner with product, engineering, and operations to embed compliance into workflows and products.
• Maintain records of compliance incidents and oversee annual risk assessment and reviews.

Connaissances

Regulatory compliance

SOC 2

GRC

Contract negotiation

Policy development

Cross-functional collaboration

Risk assessment

Formation

J.D. or advanced degree

Outils

Vanta/Drata

ISO 27001

NIST

Description du poste

Seeds Investor offers a leadership role as Head of Legal & Chief Compliance Officer to scale a compliance program at the intersection of wealth tech and financial services. The role oversees commercial, corporate, regulatory, data/privacy, and security matters, including SOC 2 Type 2, and serves as the primary liaison with regulators and auditors.

You will guide policy, training, and risk assessment, collaborating with product, engineering, and operations to embed compliance throughout the