Compliance Officer
About The Position
We are looking for a Compliance Officer to join our Legal & Compliance team. In this role, you will help support and maintain Vise’s compliance program, ensuring we meet our regulatory obligations while enabling our business to grow. You’ll report directly to the Chief Legal Officer (“CLO”) and collaborate closely with teams across the company, as well as the third-party compliance consultant that currently supports the CLO. This is a great opportunity for someone with a few years of investment adviser compliance experience in financial services or fintech who wants to take on meaningful responsibility in a fast-paced, mission-driven environment. This role is onsite in NYC, in our SoHo office.
Requirements
- Bachelor’s Degree (finance, accounting, economics, legal preferred, but not required)
- 2–4 years of experience in a compliance role within the financial services or fintech industry
- Strong understanding of the Investment Advisers Act of 1940 and related SEC rules
- Familiarity with regulatory filings (Form ADV, Rule 13F Reports, etc.)
- Highly organized with strong attention to detail and documentation
- Excellent written and verbal communication skills
- Proactive, resourceful, and eager to learn
- Ability to work independently and in a fast-paced, collaborative environment
- Experience drafting and updating policies and procedures
Nice To Haves
- Familiarity with compliance tools and systems is a plus (e.g., Global Relay, ComplianceAlpha, etc.)
Responsibilities
- Assist in the execution and ongoing improvement of Vise’s compliance program, including monitoring, testing, and reporting activities
- Participate in the annual and as-needed updating of Vise’s Compliance Manual and Code of Ethics, among other documents
- Conduct reviews of the firm’s employees’ electronic communications and Code of Ethics reporting
- Perform ongoing compliance monitoring and testing across key regulatory areas (e.g., marketing rule, best execution, conflicts, fees and billing, information security, etc.)
- Support the CLO in managing regulatory inquiries and examinations
- Review and approve marketing and other communications with the public
- Execute regulatory filings, including Form ADV amendments and Rule 13 filings
- Coordinate and conduct initial and annual compliance training sessions
- Attend regular and ad-hoc meetings with the CLO and third-party compliance consultant
- Help ensure adherence to applicable SEC regulations and other regulatory requirements
- Conduct periodic reviews of business practices and marketing materials
- Maintain accurate records and documentation to support regulatory audits and internal assessments
- Support the onboarding and due diligence process for new clients and advisors
- Monitor and respond to compliance-related inquiries from internal teams and external partners
- Collaborate cross-functionally with Sales, Operations, Product, and Engineering teams to support compliance integration into business activities
- Stay up to date on industry regulations, enforcement actions, and best practices
- Support the diligence and ancillary legal tasks and responsibilities for the Compliance function
Benefits
- Competitive salary and equity
- Unlimited PTO and great benefits, including $1 medical insurance
- 401k plan with generous matching and self-directed brokerage account option
- Access to investment management and free financial advice from one of our partner RIA firms
- Paid lunches at our NYC office
- Career growth and development opportunities
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Mid Level
