💼 About This Role

You'll own a major pillar of Altruist's compliance program, spanning Marketing Compliance, Employee Compliance, and Third-Party RIA Regulatory Requests. You'll lead a small team and partner with the Head of Compliance on Written Supervisory Procedures and product compliance as a player-coach. This role offers the chance to shape strategy in a fintech environment transforming wealth management.

🎯 What You'll Do

• Own the Marketing Compliance program end-to-end
• Own the Employee Compliance program end-to-end
• Own the Third-Party RIA Regulatory Requests program
• Serve as lead Compliance point of contact for regulators

📋 Requirements

• 10+ years of hands-on compliance experience at a broker-dealer and/or investment adviser
• 3+ years leading and developing teams
• Direct experience owning at least two of the three program pillars
• Series 7 and Series 24 licenses

✨ Nice to Have

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

🎁 Benefits & Perks

• 🏖️ Hybrid work (3 days in office per week)
• 💰 Competitive compensation (estimated)
• 📈 Growth opportunities at a fintech transforming wealth management
• 🤝 Collaborative team with executive exposure

📨 Hiring Process

Estimated timeline: 2-4 weeks · AI estimate

1. 1Recruiter Screen· 30 min
2. 2Hiring Manager Interview· 45 min
3. 3Technical/Compliance Interview· 60 min