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Compliance Director, Trust Company and Custody Operations

🏢 Vestwell · 📍 New York, NY 💰 $160,000 - $180,000 / yr
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Position Summary & Responsibilities

 

Vestwell is the financial technology company powering the new savings economy. The New York City-based fintech platform redefines how people save for the critical aspects of life across retirement, education, and healthcare savings needs. Today, Vestwell enables over 790,000 businesses and more than 2.75 million active savers, with over $57 billion in assets saved across all 50 United States. 

Vestwell offers a range of products, including workplace-delivered retirement plans, employer-offered student loan repayment benefits, and various savings accounts for education, emergencies, and individuals with disabilities.

Vestwell's platform serves a diverse clientele, including financial advisers, employers, third-party administrators, financial institutions, payroll providers, government agencies, and individual savers. To learn more, visit vestwell.com

Who Are We Looking For?

We are seeking an experienced and strategic Compliance Director of Trust Company and Custody Operations to lead and manage regulatory compliance and operational oversight across our trust company, custodial, and trading operations. This individual will play a key role in ensuring compliance with all applicable regulations related to 401(k) plans, ERISA, and trust and custody services. The ideal candidate will bring a deep understanding of regulatory requirements, operational excellence, and a proven track record in managing regulatory operations within financial services or trust company and retirement plan administration.

What Will You Be Doing?

  • Lead the regulatory operations function with a focus on qualified retirement plans, particularly 401(k) plans, IRAs, and Emergency Savings Accounts.
  • Create and implement procedures and internal controls for all trading activities within our custodial operations and proactively monitor our teams and systems for compliance with applicable laws and regulations.  
  • Ensure compliance with ERISA, Internal Rev
🎯 Candidate Preparation Guide For Vestwell Applicants

Key Role Competencies & Evaluation Highlights

Key Role Focus:

Assessing complex fintech regulatory compliance knowledge balanced with modern API-first microservices scalability.

📋 Preparation Priorities (Key Areas to Clarify):
  • 1. Dismissing edge-case compliance requirements as mere 'bureaucracy'
  • 2. Proposing rapid unstructured deployments that risk fiduciary data integrity
  • 3. Lack of institutional knowledge regarding retirement and savings plan administration
✨ Recommended Role Alignment Hook:

I specialize in hardening high-scale financial ledgers so they remain bulletproof under strict regulatory scrutiny without sacrificing deployment velocity.

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