Job Description

Broker Dealer Compliance Associate

Altruist is the modern custodian built exclusively for independent financial advisors that combines a self-clearing brokerage firm with intuitive software for account opening, trading, reporting, and billing all in one streamlined solution. Financial advisors across the U.S. have partnered with Altruist to reduce costs, save time, grow their business, and provide better outcomes for their clients. Our mission is to make financial advice better, more affordable, and accessible to everyone but we can't do it alone. We're seeking exceptional talent to join our team. That's where you come in!

If you're passionate about challenging the status quo and making a meaningful impact in the financial advice industry, we'd love to meet you!

Kindness doesn't just equal niceness. We listen to understand. We embrace, and encourage healthy debate and diverse perspectives. We approach conflict openly, honestly, and respectfully. Brilliance - humility is the skill we're most proud of and possessing a growth mindset is always top of mind. We take ownership in everything we touch; regularly using our unique superpowers to reach a common goal as a team. We succeed and fail as one. Grit - when challenges arise, we stay laser focused on achieving our mission and finding a way forward, even when it's hard. We are nimble and maintain a sense of urgency, swiftly adapting to change and overcoming obstacles.

The Opportunity

Altruist is in the midst of an exceptional growth phase and we're excited to hire a Compliance Associate to join our growing Compliance team. We're looking for a detail-oriented and proactive compliance professional to support key regulatory functions within Altruist's broker-dealer. This role will focus on core compliance operations, including licensing and registration, complaint handling, surveillance, and regulatory affairs, while also assisting with marketing reviews and managing relationships with compliance vendors and technology providers. The ideal candidate is a flexible generalist with strong attention to detail who thrives in a fast-paced environment and enjoys collaborating across teams to solve problems and help ensure we meet our regulatory obligations.

Your Impact

• Serve as a key point of contact for licensing and registration processes, including gathering required documentation, preparing and submitting filings via FINRA Firm Gateway, and managing related administrative workflows
• Assist in the development and delivery of compliance training programs for employees at all levels, including new hire onboarding and ongoing education
• Act as the primary point of contact for compliance vendors and technology platforms, supporting vendor oversight and issue resolution
• Assist with the review and tracking of customer complaints, including support for quarterly regulatory complaint filings
• Conduct routine communications and trade surveillance, helping to identify potential issues and escalate as needed
• Coordinate regulatory responses and support data gathering efforts for examinations, inquiries, and other regulatory matters
• Contribute to the review of marketing materials for compliance with applicable regulatory standards
• Support the broader compliance team as a generalist, taking on a variety of tasks with curiosity, ownership, and a collaborative mindset

What You Bring

• Experience - 25 years in compliance, legal, risk, or operational functions, ideally within fintech
  • Working knowledge of FINRA and SEC rules and regulations
  • Familiarity with regulatory frameworks applicable to broker-dealers and/or RIAs
  • Excellent written and verbal communication skills, with experience drafting policies, procedures, or regulatory responses
  • Ability to manage multiple priorities in a fast-paced environment and collaborate across cross-functional teams
• Education - B.A. / B.S. degree is preferred
• Securities licenses - This role requires either a Series 7 and Series 24 or a Series 14 license. If you do not currently hold the required licenses, you must be willing to obtain them within three (3) months of your hire date. We proudly sponsor and support employees through the licensing process.
• Technical aptitude - You're technologically savvy and can easily get up to speed on modern tech stacks
• Ownership - The pride you put into every aspect of your work is unparalleled and undeniable
• Superb communication - Intentional dialogue is a superpower. You listen as well as you share your perspective with others.
• Resilience - We're inspired by your unwavering determination to achieve success, no matter the adversity you face along the way.
• Assurance - Your confidence is brilliant, yet ego-less. You possess a strong knowledge base, the ability to discover the unknown, and are open to differing perspectives.
• Creative problem solving - Identifying the problem is simply not enough. You're instinctually creative with your approach in finding solutions to roadblocks.
• Bonus points if you bring
  • Experience with Salesforce and FINRA Gateway
  • Familiarity with how RIAs operate and are regulated
  • Prior experience working in a startup or high-growth environment, with comfort navigating ambiguity and change

What We Bring

Attracting and retaining top-tier talent is a priority. We are proud of the culture we've built and are cognizant of the ever-changing professional landscape. Our dynamic offering of perks and benefits are tailored for you to feel your best while doing your best.

• A hybrid work schedule for most positions to promote strong, in-person collaboration and a healthy work-life-balance.
• Stunning, amenity-filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX. Our offices are intentionally designed for comfort, collaboration, and productivity.
• Competitive pay, as well as equity for eligible positions
• Premium healthcare, dental, and vision insurance plans
• 401k savings plan with matching contributions and immediate vesting
• Generous paid parental leave
• Professional growth and development opportunities including an employee mobility program and an annual L&D budget allocation for each employee
• Physical and emotional wellness programs that nurture both your mind and body
• Company perks program (includes discounts on pet insurance, fitness, cell phone plans, entertainment and travel, etc.)
• Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home-purchasing preparedness, etc.)

Total compensation includes a competitive benefits package along with equity in the form of Stock Options (ISOs) for eligible roles. For salaried positions, a salary offer will be determined by a number of factors including experience, skill level, internal pay equity, geographic location, and other relevant business considerations. We review all employee pay and compensation programs regularly to ensure fair, equitable, and competitive pay. At Altruist, we are committed to providing fair, equitable, and competitive compensation by leveraging market data to inform our pay bands. Base salaries will be reviewed at regular intervals throughout the year, typically in conjunction with performance review cycles. By evaluating compensation on a regular basis, we are able to reward high performance and ensure all employees have opportunities for growth.

Don't meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they meet every single qualification. At Altruist we are dedicated to building a diverse, inclusive, and authentic workplace, so if you're excited about this role, but your past experience doesn't align perfectly with every qualification in the job description, we encourage you to apply anyways. You may be just the right candidate for this or other roles.

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