Compliance Officer
Core
Support and maintain Vise's compliance program to ensure regulatory obligations are met while enabling business growth.
Role type
Mid-level IC compliance officer
Builds
Compliance program, policies, and regulatory filings
Domain
Financial services / Fintech / Investment Advisers
Required skills
Investment Advisers Act of 1940 knowledge, SEC rules familiarity, regulatory filings (Form ADV, Rule 13F), compliance monitoring and testing, policy drafting, marketing review, client due diligence
Preferred skills
Compliance tools (Global Relay, ComplianceAlpha), cross-functional collaboration
Responsibilities
Execute and improve compliance program monitoring and testing, update Compliance Manual and Code of Ethics, review employee communications, conduct regulatory filings, manage regulatory inquiries, coordinate compliance training, review marketing materials, support client onboarding
Seniority
Mid-level, hands-on IC