Viseai
Compliance Officer
New York, NY
Sponsorship not specified$110k-$130kDetected 133 days ago
ComplianceAccountingCommunicationOrganizational Skills
About the role
- This role is onsite in NYC, in our SoHo office.
- 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.
Responsibilities
- 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.
- 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
- 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
- Support the diligence and ancillary legal tasks and responsibilities for the Compliance function
- Access to investment management and free financial advice from one of our partner RIA firms
Requirements
- 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.)
- Ability to work independently and in a fast-paced, collaborative environment
- Experience drafting and updating policies and procedures
- Highly organized with strong attention to detail and documentation
- Excellent written and verbal communication skills
- Proactive, resourceful, and eager to learn
Nice to have
- Bachelor's Degree (finance, accounting, economics, legal preferred, but not required)
- Familiarity with compliance tools and systems is a plus (e.g., Global Relay, ComplianceAlpha, etc.)
Skills
- Vise ushers in Wealth 3.0, moving beyond mutual funds and ETFs to offer personalized and automated portfolios.
Compensation
- Participate in the annual and as-needed updating of Vise's Compliance Manual and Code of Ethics, among other documents
- Coordinate and conduct initial and annual compliance training sessions
Benefits
- Competitive salary and equity
- Unlimited PTO and great benefits, including $1 medical insurance
Company info
- We are looking for a Compliance Officer to join our Legal & Compliance team.
- 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 listing is sourced directly from Viseai's careers page and normalized into a canonical job model.