Compliance Officer

🏢 Viseai · 📍 New York, NY · 💼 onsite 💰 $110,000 - $130,000 / yr

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Position Summary & Responsibilities

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

🎯 Candidate Preparation Guide For Viseai Applicants

Key Role Competencies & Evaluation Highlights

Key Role Focus:

Assesses rapid product execution, modern AI/ML stack fluency, and the ability to simplify complex financial tech for advisors.

📋 Preparation Priorities (Key Areas to Clarify):

1. Being overly academic about machine learning without tying it to business revenue or scale
2. Slow delivery cadence or resistance to early-stage ambiguity
3. Lack of familiarity with RIA compliance and advisor workflows

✨ Recommended Role Alignment Hook:

I specialize in turning complex AI capabilities into intuitive, scalable software that drives immediate advisor adoption.

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