Vise is an investment management platform built for financial advisors. Founded in 2016, Vise gives advisors the tools and technology they need to grow their business and help clients achieve their goals. By empowering advisors, Vise advances its mission of creating financial freedom for everyone. Vise is backed by Sequoia Capital, Founders Fund, Bond Capital and Ribbit Capital, and recently completed a Series C funding round.
We are looking for a Compliance Counsel that will play an integral role in helping to develop a first-tier compliance program. You will be responsible for maintaining the day-to-day compliance and owning the process and advise or important initiatives and including the delivery of new product, services and features. This role will report to our Chief Compliance Officer.
Our office is located in One World Trade in NYC. Our office is open at limited capacity with strict contact tracing and protocols for anyone who chooses to go in. We will continue to be remote-optional until September 30, 2021. We will monitor Covid-19 trends to ensure the safety of our employees.
About this role
We are searching for an attorney to support our rapidly growing technology driven investment management business, with a particular focus on core compliance and providing legal advice to engineering and products teams. The candidate shall be directly responsible for regulatory, compliance, disclosure matters as well as advising on commercial matters, product and feature development.
What you will own:
- Drafting and ongoing maintenance of disclosure materials, including form ADV documents, in consultation with the CCO.
- Reviewing marketing materials and website disclosures for consistency with SEC marketing rules; maintain documentation of marketing review and library of disclosures.
- Perform ongoing and annual reviews of the operational design and effectiveness of the compliance program. Develop testing and oversight.
- Draft and maintain policies and procedures related to Code of Ethics, Advisers Act compliance, data and information handling, etc.
- Draft and maintain investment management agreements.
- Assist with reviewing contracts, NDAs, vendor agreements
- Managing internal business relationships and communicating directly with internal business clients.
What you will bring on Day 1
- J.D. with superior academic credentials from a nationally-recognized law school.
- 2+ years’ experience as a lawyer in a major law firm or in the legal department of a leading financial services organization of FinTech company.
- Experience with the U.S. federal securities laws and Investment Advisers Act and/or U.S. broker-dealer laws/regulations.
- The ability and desire to develop expertise in new or unfamiliar areas of law.
- Exceptional analytical, written and verbal communication skills.
- Strong interpersonal and relationship-building skills.
- The ability to work effectively both independently and as a member of a team, in a demanding, fast-paced, global environment.
- Maintain the highest standards of professionalism and must pay careful attention to detail.
Vise celebrates and embraces diversity and is committed to building a team that represents a variety of experiences, backgrounds, and skills. We do not discriminate on the basis of race, color, religion, marital status, age, gender identity, gender expression, sexual orientation, non-disqualifying physical or mental disability, national origin, veteran status, or other applicable legally protected characteristics.