💼 About This Role

You'll own a major pillar of Altruist's compliance program spanning marketing compliance, third-party RIA regulatory requests, and employee compliance. You'll lead a team of two, set multi-quarter strategy, and partner with executives across Product, Engineering, Legal, and Marketing. This player-coach role offers the chance to drive compliance at a high-growth fintech transforming wealth management.

🎯 What You'll Do

• Own marketing compliance end-to-end, including review of communications under FINRA Rule 2210 and SEC Marketing Rule
• Own employee compliance program including licensing, registration, CE, and insider trading program
• Lead third-party RIA regulatory requests and responses for platform data
• Partner with Head of Compliance on Written Supervisory Procedures and product compliance reviews

📋 Requirements

• 10+ years of hands-on compliance experience at a broker-dealer or investment adviser
• 3+ years leading and developing compliance teams
• Series 7 and Series 24 licenses required
• Deep knowledge of FINRA and SEC rules, including FINRA Rule 2210 and Investment Advisers Act

✨ Nice to Have

• Investment adviser compliance experience
• Experience in fintech or high-growth financial services
• Series 4 license preferred

🎁 Benefits & Perks

• 🏖️ Unlimited PTO
• 🏥 Health insurance
• 💰 401k matching
• 📈 Stock options
• 🏢 Hybrid work model with three days in office

📨 Hiring Process

Estimated timeline: 2-4 weeks · AI estimate

1. 1Recruiter screen· 30 min
2. 2Hiring manager interview· 45 min
3. 3Panel interview· 60 min

🚩 Heads Up

• Requires Series 7 and Series 24 with Series 4 within 90 days, limiting candidate pool
• Broad scope of responsibilities across three major programs may indicate heavy workload