Compliance Officer

February 29

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Vise

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Vise is a technology-powered asset manager that helps advisors build, manage, and explain personalized portfolios.

Investment Management • RIA • Financial Advisors • Fintech • Financial Services

51 - 200

💰 $65M Series C on 2021-05

Description

• Develop and maintain a comprehensive compliance program that includes policies, procedures, and controls designed to ensure compliance with SEC regulations • Monitor and evaluate compliance with applicable laws, regulations, and internal policies • Conduct annual 206(4)-7 risk assessment and develop mitigation strategies • Review and approve marketing materials for SEC compliance • Develop and deliver compliance training • Assist with managing regulatory examinations and audits • Conduct reviews to identify compliance issues and develop corrective action plans • Collaborate with other departments to address compliance issues

Requirements

• 8+ years of compliance experience in financial services industry • Strong knowledge of SEC regulations • Prior FinTech or AI experience • Bachelor's degree in business, finance, or related field • Excellent communication skills • Ability to work independently and as part of a team • Detail-oriented, analytical, time management skills, and embraces data and technology • Collaborative, self-motivated, strong ethical values, adaptable, flexible, continuous learner, problem-solver

Benefits

• Salary range $120,000 - $150,000 per year plus competitive equity package • Wide range of comprehensive and inclusive employee benefits