Tech Stack

Description

You will lead and document formal supervisory reviews across clearing, custody, regulatory reporting, and vendor workflows at Altruist. You'll partner with the Associate Director to execute principal-level oversight, validate controls, and maintain audit-ready evidence for BDO audits and regulatory exams.

Requirements

• 5+ years in broker-dealer supervision, operational risk, clearing, custody, or regulatory reporting environments
• Demonstrated experience performing licensed supervisory reviews with strong evidence standards
• Strong working knowledge of clearing and custody workflows including audits, statements, trade confirms, tax forms, ACATs, corporate actions, DRIP, cash management, and regulatory reporting frameworks
• Active FINRA Series 7 and Series 24 required (or ability to obtain within 90 days)
• Strong proficiency in Google Sheets and Excel
• Comfort working in systems such as JIRA, Slack, FIS, Mediant, BetaNXT/Maxit, Sovos, Sterling Risk, FINRA CAT, Retool, Tableau, SS&C, proxy and voting platforms, or similar
• Superb communication and ability to influence and build trust across teams
• Resilience and creative problem-solving skills

Responsibilities

• Lead and document formal supervisory reviews across clearing, custody, regulatory reporting, and vendor workflows
• Execute principal-level oversight of statements, confirms, tax reporting, corporate actions, transfers, DRIP, and cash management processes
• Support independent oversight of CAT, CAIS, Large Trader Reporting, and related suspense and exception governance
• Translate cross-functional system, product, and vendor changes into sustainable supervisory controls and documented review standards
• Enhance and execute daily and periodic supervisory checklists and reconciliations across clearing and custody operations
• Monitor, escalate, and coordinate remediation of reporting, disclosure, and vendor control issues
• Partner with Product, Engineering, Operations, and Compliance to ensure structural regulatory data integrity
• Maintain defensible documentation and supervisory review trails to support BDO audits and regulatory examinations