Compliance Officer, Vise
$110-130k
+ Equity
3 days a week in office
AI-driven asset management platform
Be an early applicant
AI-driven asset management platform
101-200 employees
Be an early applicant
$110-130k
+ Equity
3 days a week in office
101-200 employees
Company mission
To enable financial advisors to deliver better investment outcomes to their clients while scaling to their maximum potential.
Role
Who you are
- 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 the job involves
- 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
- 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
Our take
Registered Independent Advisors (RIAs) operate in a competitive market dominated by institutional investors with advanced tools and analyst teams. Vise addresses this gap with an AI-driven platform that automates portfolio construction and management, allowing advisors to focus on client relationships. Its rapid growth (surpassing $15B in platform assets with a 1500% year-over-year increase) really shows just how strong its adoption has been too.
This momentum comes amid major changes in the RIA sector, driven by private equity-fuelled consolidation and the rise of enterprise-scale firms. These shifts are increasing demand for more sophisticated, scalable technology. Vise's recent leadership expansion, including CFO Nick Raffone, reflects its focus on supporting larger, more complex advisory businesses.
Vise also occupies a middle ground between traditional advisors and robo-advisors like SoFi and Wealthfront. While robo-advisors handle simpler portfolios efficiently, they lack the flexibility needed for complex assets, and traditional advisor methods can be harder to scale. So, Vise's hybrid approach combines automation with human oversight, positioning it well for an evolving, tech-enabled advisory landscape.
Freddie
Company Specialist at Welcome to the Jungle
Insights
14% employee growth in 12 months
Company
Funding (last 2 of 4 rounds)
May 2021
$65m
SERIES C
Dec 2020
$45m
SERIES B
Total funding: $126.5m
Company benefits
- 401(k) savings plan + company match
- Comprehensive health pans
- Flexible PTO
- Lifestyle and well-being benefits
- Paid parental leave
Company HQ
SoHo, New York, NY
Leadership
Samir Vasavada
(Co-Founder & Co-Head)Samir co-founded Vise in 2016 and has headed up the company alongside Runik ever since.
Runik Mehrotra
(Co-Founder & Co-Head)Runik has a Bachelor of Science in Finance from The Wharton School and a Bachelor of Science in Engineering, Computer and Information Sciences from the University of Pennsylvania.
Salary benchmarks
We don't have enough data yet to provide salary benchmarks for this role.
Submit your salary to help other candidates with crowdsourced salary estimates.
Share this job
View 6 more jobs at Vise