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Compliance Officer
Vise
New York, NY, USA
Mar 12, 2026
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...
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Fund Compliance Manager
Bitwise Asset Management, Inc.
Hybrid (New York, NY, USA)
Feb 24, 2026
It’s rare that a new asset class is born. Nevertheless, we’re witnessing exactly that with the rise of crypto. Over just the last few years, since Bitwise was founded, crypto has evolved from an embryonic $50B market to a growing $3T+ juggernaut. At Bitwise, we believe that crypto has reached a turning point, and is headed north of $10T over the next few years.  This is an exciting moment for Bitwise as a firm. For eight years, we have established a track record of excellence managing a broad suite of index and active solutions across ETFs, separately managed accounts, private funds, institutional staking, and hedge fund strategies. This year, we crossed $15B in client assets and are growing quickly. Thousands of financial advisors, family offices, and institutional investors partner with Bitwise to understand and access the opportunities in crypto. We are known for providing unparalleled client support through expert research and commentary, a nationwide client team of...
Senior Portfolio Manager - Global Fixed Income Solutions, VP I - State Street Investment Management
State Street
Boston, MA, USA
Mar 12, 2026
We are seeking a highly skilled and motivated Senior Portfolio Manager to join the Global Fixed Income Solutions team in Boston. This role is responsible for the management and trading of cash and liquidity strategies, including traditional cash, securities-lending cash collateral reinvestment, enhanced cash and ultra-short, fixed income portfolios. The position offers the opportunity to be part of a core business within a fast‑paced, collaborative investment environment. We are looking for candidates with an undergraduate and/or graduate degree in business, economics, or finance ( CFA designation a plus ) and a minimum of 10 years of relevant experience in short‑term fixed income portfolio management .  The ideal candidate demonstrates strong analytical capabilities; communicates clearly and effectively, both verbally and in writing; enjoys working in a team environment, performs well under tight deadlines; and collaborates effectively across teams. The successful...
CX Platform - Global Head of Platforms and Development - Client Experience Technology and Business Services, Managing Director -- State Street Investment Management
State Street
Boston, MA, USA
Mar 12, 2026
Who we are looking for State Street Investment Management (“State Street IM”, formerly known as State Street Global Advisors or SSGA) is seeking a CX Platform – Global Head of Platforms and Development, Managing Director. The ideal candidate will have a proven track record in managing development resources and planning for both BAU and strategic projects. This role is responsible for setting the technology strategy for our asset management client experience stack, leveraging the latest tools such as AI, and building high-performance teams through coaching and training. The successful candidate will also drive technology partnerships with leading third-party tech firms. This position is global in scope and will play a critical role in shaping the future of client experience technology at State Street. This role will report directly to State Street IM’s Global Head of Client Experience Technology and Business Service within the Chief Operating Officer (COO) organization....
College to Corporate Internship - Investment Management - PA
Vanguard
Malvern, PA, USA
Mar 12, 2026
Drive superior investment results Why join Vanguard’s College to Corporate Internship Program for Investment Management? You will experience buy-side investing with an innovative investment management organization. Your internship will provide an opportunity to collaborate alongside a team of premier investment professionals and influence the outcomes of over fifty million clients. Through hands-on involvement with the global investment ecosystem, and access to the tools and resources you need to succeed, you’ll learn how we help shape the financial future of our clients. In this internship program: Work as part of Vanguard's investment teams including fixed income, equity, quantitative equity, investment strategy, FinTech, portfolio review, and risk management. You will work in a department that draws upon your experience and interest, as well as meets strategic business needs Experience a comprehensive approach to investing that employs a range of strategies across...
Investment Management Segment Reporting & Analytics - Vice President
Morgan Stanley
New York, NY, USA
Mar 12, 2026
We're seeking someone to join our Segment Reporting & Analytics Team as a Vice President in Investment Management Finance (IM Finance) to be involved in accounting, finance and process transformation, as well as calculating the Firm's P&L during the quarterly mark-to-market and multi-year forecast processes.In the Finance division, we act as a partner to business units around the globe by providing management, review, analysis and advisory services of the Firm's financial and capital resources. This is a Vice President level position within the Financial Planning & Analysis (FP&A) job family, which is responsible for the firm's budget, forecast, internal management reporting and financial analysis to provide insight into the firm's current and expected financial performance. Additional responsibilities include expense allocation. FP&A is a contributor to the Firm's CCAR process. Since 1935, Morgan Stanley is known as a global leader in financial services,...
Investment Management Segment Reporting & Analytics - Vice President
Morgan Stanley
New York, NY, USA
Mar 12, 2026
We're seeking someone to join our Segment Reporting & Analytics Team as a Vice President in Investment Management Finance (IM Finance) to be involved in accounting, finance and process transformation, as well as calculating the Firm's P&L during the quarterly mark-to-market and multi-year forecast processes.In the Finance division, we act as a partner to business units around the globe by providing management, review, analysis and advisory services of the Firm's financial and capital resources. This is a Vice President level position within the Financial Planning & Analysis (FP&A) job family, which is responsible for the firm's budget, forecast, internal management reporting and financial analysis to provide insight into the firm's current and expected financial performance. Additional responsibilities include expense allocation. FP&A is a contributor to the Firm's CCAR process. Since 1935, Morgan Stanley is known as a global leader in financial services,...
Investment Management Specialist
Bank of America
San Antonio, TX, USA
Mar 11, 2026
Job Description: Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Management is one of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance. Merrill’s Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. Merrill is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our...
Investments Compliance Officer
Invesco Ltd.
Atlanta, GA, USA
Mar 11, 2026
About Invesco As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco. What’s in it for you? Our people are at the ver y core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:   Flexible paid time off Hybrid work schedule  401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution  Health & wellbeing benefits  Parental Leave benefits  Employee stock purchase plan Job Description About...
COO Executive Communications, Planning and Execution Lead, VP III - State Street Investment Management
State Street
Boston, MA, USA
Mar 11, 2026
The Executive Communications, Planning and Execution Lead will play a pivotal role in supporting Chief Operating Officer (COO) communications, executive readiness, and the planning and execution of key initiatives and special projects within State Street Investment Management.  Responsibilities include developing executive‑level presentations, coordinating operating rhythm, governance, and reporting, supporting client presentations, managing requests from firmwide board and governance forums. This role requires an execution-oriented individual with a strategic mindset and proven Investment Management experience, able to deliver high quality work under tight deadlines, write and coordinate key COO communications and presentations, navigate ambiguity and collaborate effectively with senior leadership and colleagues across the organization. Why this role is important to us The COO Business Operations team you will be joining is a part of State Street Investment Management, the...
State Street Investment Management (State Street IM) - Operational Risk Management - Summer Internship 2026
State Street
Boston, MA, USA
Mar 11, 2026
Job Description Position Summary: The 2026 summer internship position sits within the State Street Investment Management (State Street IM) - Operational Risk Management team. The Investment Management ORM team provides independent risk oversight to State Street IM’s business through various operational risk management programs such as error/incident analysis, Targeted Risk Assessment (TRA), Material Risk Identification (MRI), Key Risk Indicator (KRI),  Risk and Control Self-Assessment (RCSA) and other risk governance and reporting activities.  State Street IM  is the asset management arm of State Street Corporation and provides investment solutions and services to world’s largest institutional clients. With over $5 trillion in AUM and 2,100 institutional clients in 57 countries, State Street IM is the 4th largest asset management firm in the world. Our Team: We are a diverse team of over 65 risk professionals based in Boston, Stamford, London, Dublin, Krakow,...
AVP, Compliance Officer
Axos Bank
San Diego, CA, USA
Mar 11, 2026
Axos Bank Target Range: $70,304.00/Yr. - $82,000.00/Yr. Actual starting pay will vary based on factors including, but not limited to, geographic location, experience, skills, specialty, and education. Eligible for an Annual Discretionary Cash Bonus Target: 10% Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 10% These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets. About This Job As the AVP, Compliance Officer, you will play a pivotal role in leading and executing compliance risk assessments, quality assurance reviews, and compliance monitoring processes across high-risk activities. You will support business units in navigating regulatory changes, marketing compliance, and company-wide training initiatives. This role is essential to maintaining the bank’s integrity and enabling its growth in a highly regulated environment. Responsibilities: Develop,...
Director, Business Strategy & Investment Management Office
Mazda North American Operations
USA
Mar 10, 2026
Job Description The Director, Business Strategy & Investment Management Office is responsible for driving the development, execution, and continuous refinement of the organization’s long-term vision and business strategy. This leadership role oversees planning, investment management and value realization initiatives that support sustainable growth and operational excellence. The Director will lead cross-functional teams to assess market trends, forecast industry shifts, and align organizational priorities with emerging opportunities. In addition to spearheading enterprise-wide strategic initiatives, this role will provide oversight for the Investment Management Office (IMO), ensuring the effective planning, allocation, and administration of funding to optimize the return on investment for key programs and services. This position works closely with Finance and department heads to integrate strategic objectives into annual budgeting and resource allocation processes. The...
Compliance Officer, Registrations
BMO
Chicago, IL, USA
Mar 10, 2026
Application Deadline: 03/27/2026 Address: 320 S Canal Street Job Family Group: Audit, Risk & Compliance Qualifications: Typically between 3 - 5 years of experience in regulatory compliance, preferably within a broker‑dealer or similar financial services environment. Direct experience administering employee registrations with FINRA, NFA, and/or SEC, including completing and managing Form U4/U5 filings and registration amendments. Strong understanding of U.S. securities and derivatives regulations, including FINRA rules and registration categories, NFA and CFTC registration requirements, and SEC regulatory framework for registered representatives Experience with regulatory systems such as FINRA Gateway, NFA ORS, WebCRD, and CE systems. Experience conducting compliance monitoring, testing, risk assessments, or controls evaluation. Proficiency in Microsoft Office (Excel, Word, PowerPoint) and ability to learn specialized compliance systems....
Recruiter - Investment Management / Finance
Voya Financial
Atlanta, GA, USA
Mar 10, 2026
Together we fight for everyone’s opportunity for a better financial future. We will do this together — with customers, partners and colleagues. We will fight for others, not against: We will stand up for and champion everyone’s access to opportunities. The status quo is not good enough … we believe every individual and every community deserves access to financial opportunities. We are determined to support both individuals and communities in reaching a better financial future.  We know that reaching this future depends on our actions today. Like our Purpose Statement, Voya believes in being bold and committed to action.  We are committed to a work environment where the differences that we are born with — and those we acquire throughout our lives — are understood, valued and intentionally pursued. We believe that our employees own our culture and have a responsibility to foster an environment where we all feel comfortable bringing our whole selves to work. Purposefully...
Senior Data Governance & Data Quality Specialist (Microsoft Purview | Investment Management)
Capgemini
New York, NY, USA
Mar 10, 2026
Choosing Capgemini means choosing a company where you will be empowered to shape your career in the way you’d like, where you’ll be supported and inspired by a collaborative community of colleagues around the world, and where you’ll be able to reimagine what’s possible. Join us and help the world’s leading organizations unlock the value of technology and build a more sustainable, more inclusive world. Location: Newark NJ (Hybrid) Job Description Title: Senior Data Governance & Data Quality Specialist (Microsoft Purview | Investment Management) Employment Type : Full‑time Role Overview We are seeking a Senior Data Governance & Data Quality Specialist with deep, hands‑on expertise in Microsoft Purview to support a complex Investment / Asset Management environment. This is a client‑facing, delivery‑oriented role focused on assessing, structuring, and optimizing an existing Purview implementation while guiding business and technical stakeholders on...
Chief Compliance Officer (US)
Hoxton Wealth
Arlington, TX, USA
Mar 10, 2026
Chief Compliance Officer — SEC Registered Investment Adviser (RIA) Location: USA (Remote) Reporting to: Chief Compliance Officer - Global Overview We are an SEC-regulated wealth and investment business seeking an experienced Head of Compliance to support and strengthen our US compliance function. This role will play a key part in maintaining robust regulatory oversight while contributing to the continued development and scalability of our compliance framework. The successful candidate will operate within an established infrastructure, partnering closely with the Chief Compliance Officer and senior leadership to ensure regulatory integrity, effective risk management, and operational efficiency. Key Responsibilities Immediate priorities Maintain SEC regulatory compliance across the RIA Oversee ongoing monitoring, testing, and surveillance activities Support regulatory filings, including Form ADV updates and amendments Manage and execute the...
Associate Counsel, Investment Management
Bridgewater Associates
Westport, CT, USA
Mar 10, 2026
About Bridgewater Bridgewater Associates is a premier asset management firm, focused on delivering unique insight and partnership for the most sophisticated global institutional investors. Our investment process is driven by a tireless pursuit to understand how the world’s markets and economies work — using cutting edge technology to validate and execute on timeless and universal investment principles. Founded in 1975, we are a community of independent thinkers who share a commitment for excellence. By fostering a culture of openness, transparency, and inclusion, we strive to unlock the most complex questions in investment strategy, management, and corporate culture. Explore more information about Bridgewater on our website here . About Our Culture Our culture is anchored in excellence—meaning constant improvement—and it is deeply tied to our mission. Because markets are objective, competitive, and getting smarter everyday—we need to keep rapidly improving to have...
Fixed Income Trading Assistant/Junior Trader - Cigna Investment Management (CIM) - Hybrid
The Cigna Group
Bloomfield, CT, USA
Mar 07, 2026
The job profile for this position is Investment Lead Analyst, which is a Band 3 Senior Contributor Career Track Role. Excited to grow your career? We value our talented employees, and whenever possible strive to help one of our associates grow professionally before recruiting new talent to our open positions. If you think the open position you see is right for you, we encourage you to apply! Our people make all the difference in our success. Cigna Investment Management (CIM) manages over $20 billion in assets on behalf of Cigna, a publicly traded global health services company. CIM’s assets are invested in public bonds, private placement securities, commercial mortgages, real estate equity, mezzanine debt, private equity, equity securities, warrants, commercial paper, certificates of deposit, municipal securities, mutual fund shares, United States government securities, options contracts on securities, futures contracts on intangibles, money market funds, derivatives,...
Chief Compliance Officer - NLG Capital
National Life Insurance Company
Addison, TX, USA
Mar 07, 2026
Come join one of America’s fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. Throughout that history, we have provided peace of mind to those families as they plan their futures. Our mission extends beyond the insurance and annuities policies that we offer. We strive to make the world a better place through our grants from our charitable foundation, paid volunteer time for our employees, environmentally sustainable and healthy workplaces, and events that promote the work of nonprofits in our own backyard. We foster a collaborative environment with opportunities for growth and encourage our associates to live our values: Do good. Be good. Make good. About Us NLG Capital, the investment management company of NLG, manages approximately $40 billion in AUM. Our purpose is simple – to allow NLG to keep its promises. How we do this – an obsessive focus on delivering...
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Compliance Officer

Vise
Apply Now
New York, New York, United States
Mar 12, 2026
Compliance

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 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

Why join Vise:

  • Opportunity to make a significant impact at a hyper-growth fintech start-up
  • Competitive salary and equity
  • Unlimited PTO and great benefits, including $1 medical insurance
  • 401k plan with generous matching and self-directed brokerage account option
  • Access to investment management and free financial advice from one of our partner RIA firms
  • Paid lunches at our NYC office
  • Career growth and development opportunities

Through the internal and market data Vise has collected, we expect the salary range for this position to be $110,000 - $130,000 per year, plus a competitive equity package. Your actual compensation will be determined based on your skills, qualifications, and experience. In addition, Vise offers a wide range of comprehensive and inclusive employee benefits.

 

About Vise:

Vise is an artificial intelligence (AI) powered asset management platform designed specifically for financial advisors to build, manage and explain personalized portfolios. In today's world, AI is driving personalization across various industries, enhancing the way we shop, consume content, and engage with technology. Embracing this trend, Vise is leading the charge to bring this level of personalization to how we invest. Vise ushers in Wealth 3.0, moving beyond mutual funds and ETFs to offer personalized and automated portfolios. By harnessing the power of AI, Vise enables financial advisors to create tailored investment strategies that cater to each client's unique financial needs and goals.

Financial advisors are at the heart of this transformation, as their relationships with clients are essential to understanding and meeting each client's unique financial needs. With Vise, advisors can focus on nurturing these relationships instead of spending time building and managing portfolios. Our platform empowers advisors to create institutional-grade, personalized portfolios, automate their management, and explain valuable insights that enhance their expertise and service to clients. Vise is the outsourced sub-advisor, doing trading, rebalancing, and managing client portfolios fully automated on the advisor's behalf; Vise charges an AUM fee for its services. 

Our exceptional New York team comprises world-class Ph.D. quants, investment researchers, and engineers with experience at industry-leading firms like Citadel, Blackrock, Stripe, and Stanford. Combining top financial and engineering talent, we pride ourselves on delivering products faster and understanding our customers' needs better than anyone else in the market. Vise has garnered the support of prominent venture capital firms, raising over $130M from Sequoia Capital and Founders Fund, among others.

 

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.

About Vise
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