Compliance Officer

Job Description

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.

What you bring on day one:

• 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
• Familiarity with compliance tools and systems is a plus (e.g., Global Relay, ComplianceAlpha, etc.)

What you will own:

• 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

Why join Vise:

• Opportunity to make a significant impact at a hyper-growth fintech start-up
• 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

Through the internal and market data Vise has collected, we expect the salary range for this position to be $110,000 - $130,000 per year, plus a competitive equity package. Your actual compensation will be determined based on your skills, qualifications, and experience. In addition, Vise offers a wide range of comprehensive and inclusive employee benefits.

About Vise:

Vise is an artificial intelligence (AI) powered asset management platform designed specifically for financial advisors to build, manage and explain personalized portfolios. In today's world, AI is driving personalization across various industries, enhancing the way we shop, consume content, and engage with technology. Embracing this trend, Vise is leading the charge to bring this level of personalization to how we invest. Vise ushers in Wealth 3.0, moving beyond mutual funds and ETFs to offer personalized and automated portfolios. By harnessing the power of AI, Vise enables financial advisors to create tailored investment strategies that cater to each client's unique financial needs and goals.

Financial advisors are at the heart of this transformation, as their relationships with clients are essential to understanding and meeting each client's unique financial needs. With Vise, advisors can focus on nurturing these relationships instead of spending time building and managing portfolios. Our platform empowers advisors to create institutional-grade, personalized portfolios, automate their management, and explain valuable insights that enhance their expertise and service to clients. Vise is the outsourced sub-advisor, doing trading, rebalancing, and managing client portfolios fully automated on the advisor's behalf; Vise charges an AUM fee for its services.

Our exceptional New York team comprises world-class Ph.D. quants, investment researchers, and engineers with experience at industry-leading firms like Citadel, Blackrock, Stripe, and Stanford. Combining top financial and engineering talent, we pride ourselves on delivering products faster and understanding our customers' needs better than anyone else in the market. Vise has garnered the support of prominent venture capital firms, raising over $130M from Sequoia Capital and Founders Fund, among others.

Vise celebrates and embraces diversity and is committed to building a team that represents a variety of experiences, backgrounds, and skills. We do not discriminate on the basis of race, color, religion, marital status, age, gender identity, gender expression, sexual orientation, non-disqualifying physical or mental disability, national origin, veteran status, or other applicable legally protected characteristics.