Compliance Officer

Altruist•2h ago

United StatesHybridFull-timeSenior Level5+ yrs exp

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Top focus

Compliance Officer

About Altruist
Altruist is transforming the multi-trillion dollar wealth management industry by building an AI platform for wealth professionals. We partner with financial advisors nationwide, empowering them to grow, optimize time and resources
deliver superior outcomes for their clients.
We're looking for exceptional talent to help us achieve our mission of making financial advice better, more affordable
accessible to all. If you're passionate about challenging the status quo and want to do the most important work of your life, we'd love to meet you!
But first, our values
Kindness - 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
We're hiring a Compliance Officer to serve as the functional compliance lead for Altruist Advisors , Altruist's new SEC-registered investment adviser. You'll be the primary point of contact and subject-matter expert for the RIA, owning the Investment Adviser Representative (IAR) relationship end-to-end and helping build and scale the RIA's compliance program from the ground up. You'll partner directly with the Head of Compliance and with Product as we launch and grow our new corporate RIA offering.
This is a senior individual-contributor role. You'll own substantive compliance work across the RIA's program — with support — while operating with the judgment and independence to shape how the program is built. You'll also serve as a trusted partner to teams across Product, Engineering, Operations, and Marketing.
*This is a hybrid role requiring three days per week in the office.
Your impact
Primary POC and SME — Act as the lead compliance point of contact and subject-matter expert for Altruist Advisors, our new SEC-registered investment adviser.
IAR lifecycle — Own the IAR relationship from a compliance perspective, from onboarding through offboarding, including oversight of ongoing IAR activity.
Program build-out — Assist in the build-out and scaling of the RIA's compliance program, including the development and management of policies and procedures.
Form ADV — Own the preparation, maintenance, and timely filing of Form ADV (Parts 1, 2A, and 2B), including annual updating amendments and other-than-annual amendments as material changes arise.
Product partnership — Partner closely with Altruist's Product team to provide compliance input and guidance on the new corporate RIA offering.
Marketing review — Review and approve IAR marketing materials and communications under the SEC Marketing Rule.
Vendor management — Own vendor relationships supporting the RIA's compliance program.
Ongoing oversight — Conduct ongoing oversight and monitoring of IAR activity, escalating issues and driving remediation.
Cross-entity support — Provide general compliance support to Altruist's other regulated entities, including the broker-dealer, as required.
What you bring
Experience — 5+ years of hands-on investment adviser compliance experience, with demonstrated ability to execute across the full range of a compliance program. Broker-dealer compliance experience preferred.
Speed and adaptability — Prior experience in a fintech or high-growth financial services environment
a comparable track record that demonstrates the ability to move quickly and operate with ambiguity as programs are built.
Regulatory expertise — Strong working knowledge of the Investment Advisers Act and the SEC Marketing Rule, with hands-on experience preparing and filing Form ADV
the practical judgment to apply regulations in a solutions-oriented way and help stand up policies and controls. Familiarity with FINRA rules a plus given cross-entity support.
Cross-functional collaboration — Fosters and builds strong cross-functional relationships
drives outcomes across Compliance, Legal, Operations, Product, and Engineering and persuades with data and regulatory rationale rather than authority.
Ownership mindset — Comfortable owning a program end-to-end as a senior IC, setting the quality bar for substantive work while partnering with the Head of Compliance on strategy and direction.
Technical aptitude — Technologically savvy; gets up to speed quickly on modern tech stacks and partners credibly with Engineering and Product.
Education — Bachelor's degree (B.A. or B.S.) in a relevant field.
Securities licenses — Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly after joining also welcome.
Bonus points if you bring:
Hands-on experience authoring and maintaining compliance policies and procedures for an RIA
Experience with IAR onboarding, registration, and ongoing oversight at scale
Experience managing compliance vendors and related tooling
Los Angeles, CA salary range
$124,000 — $170,000 USD
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.
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 and equity for eligible positions.
Premium healthcare, dental, and vision insurance plans (HMO and PPO).
401k savings plan with a 4% match and immediate vesting.
16 week paid parental leave after one year of employment.
Professional growth and development opportunities including an employee mobility program and an annual L&D budget allocation for each employee.
Company perks program (includes discounts on pet insurance, fitness, cell phone plans, and travel, etc.).
Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home-purchasing preparedness, etc.).
One month work from anywhere policy (with the exception of a few countries).
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
other relevant business considerations. We review all employee pay and compensation programs regularly to ensure fair, equitable
competitive pay. At Altruist, we are committed to providing fair, equitable
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
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.

Required skills

ComplianceInvestment Advisers ActSEC Marketing RuleForm ADVFINRA