Description

You will lead product and marketing compliance efforts for a FINRA-member broker-dealer and SEC-registered investment adviser, collaborating with stakeholders to balance regulatory oversight with innovation. This role offers the chance to shape compliance programs in a high-growth fintech environment.

Requirements

• 7+ years of hands-on compliance experience at a broker-dealer and investment adviser with emphasis on product and/or marketing compliance
• Investment adviser compliance experience strongly preferred
• Prior experience in fintech or high-growth financial services strongly preferred
• Strong knowledge of FINRA and SEC rules with sound judgment
• Bachelor’s degree in a relevant field
• Series 7 and Series 24 required; Series 4 preferred or within 90 days
• Technologically savvy
• Superb communication and ability to influence
• Resilience and creative problem-solving

Responsibilities

• Lead key elements of Altruist’s regulatory compliance programs for its FINRA-member broker-dealer and SEC-registered investment adviser
• Serve as a strategic compliance partner on new product initiatives, setting compliance guardrails, resolving issues, and making risk-based determinations
• Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules
• Oversee review and approval of product-specific communications, disclosures, and materials
• Lead the employee compliance program, including licensing, registration, and continuing education
• Support ad-hoc initiatives aligned with evolving business priorities
• Serve as escalation point for complex compliance matters and provide guidance
• Drive development, implementation, and monitoring of compliance policies and procedures
• Identify and escalate emerging compliance risks and recommend enhancements