Description

As a Senior Compliance Manager at Altruist, you will lead product and marketing compliance for our FINRA broker-dealer and SEC investment adviser, support employee compliance, and partner on broader regulatory initiatives to ensure innovation while maintaining strong oversight.

Requirements

• 7+ years of hands-on compliance experience at a broker-dealer and investment adviser, with an emphasis on product and/or marketing compliance
• Investment adviser compliance experience strongly preferred
• Prior experience in a fintech or high-growth financial services environment strongly preferred
• Strong knowledge of FINRA and SEC rules
• Bachelor's degree (B.A. or B.S.) in a relevant field
• Series 7 and Series 24 required; Series 4 preferred or required within 90 days of hire
• Technologically savvy
• Superb communication skills
• Resilience and determination
• 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 in consultation with senior stakeholders
• Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules, advising business and marketing teams
• Oversee the review and approval of product-specific communications, disclosures, and materials across web and app platforms
• Lead the employee compliance program, including licensing and registration, continuing education, issue remediation, and new employee onboarding
• Support ad-hoc initiatives aligned with evolving business priorities
• Serve as an escalation point for complex compliance matters, providing guidance and mentorship to colleagues and business partners
• Drive the development, implementation, and ongoing monitoring of compliance policies and procedures
• Identify, assess, and escalate emerging compliance risks, recommending and implementing enhancements to policies, systems, controls, and training