Compliance Officer
Core
Support and maintain Vise's compliance program to ensure regulatory obligations are met while enabling business growth in the fintech sector.
Role type
Mid-level Investment Adviser Compliance Officer
Builds
Compliance program, regulatory filings, and internal controls for an AI-powered asset management platform
Domain
Financial Services / Fintech / Investment Advising
Deliverable
client delivery | dashboards & analysis
Required skills
Investment Advisers Act of 1940 knowledge, SEC rules familiarity, regulatory filing execution, policy drafting, compliance monitoring, marketing review, client onboarding due diligence
Preferred skills
Compliance tools proficiency (Global Relay, ComplianceAlpha), cross-functional collaboration
Technologies
Global Relay, ComplianceAlpha
Responsibilities
Execute and improve compliance program monitoring and testing, update Compliance Manual and Code of Ethics, review employee communications and marketing materials, manage regulatory inquiries and examinations, conduct compliance training, support client onboarding due diligence
Seniority
Mid-level, hands-on IC