Altruist
Senior Compliance Associate, Product and Marketing Compliance
Altruist, Dallas, Texas, United States, 75215
Senior Compliance Associate, Product
Altruist
is a modern custodian built exclusively for independent financial advisors, combining a self‑clearing brokerage firm with intuitive software for account opening, trading, reporting, and billing—all in one streamlined solution. We partner with advisors across the U.S. to reduce costs, save time, grow their business, and provide better outcomes for their clients. Our mission is to make financial advice better, more affordable, and accessible to everyone.
Location Dallas, TX (hybrid work schedule)
Salary Range $90,000—$130,000 USD
Responsibilities
Support regulatory compliance for Altruist’s FINRA‑member broker‑dealer and SEC‑registered investment adviser.
Partner cross‑functionally on new product initiatives, setting compliance guardrails, resolving conflicts, and making determinations in consultation with Compliance leadership.
Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules.
Review and approve product‑specific communications, disclosures, and materials across web and app platforms.
Provide support across core compliance functions, including employee compliance, surveillance, vendor oversight, customer complaint handling, and ad‑hoc initiatives based on broader business needs.
Act as an escalation point and provide support to colleagues and business partners on compliance‑related matters.
Assist with the development and monitoring of compliance policies and procedures and support regulatory exams and inquiries as needed.
Identify and elevate emerging compliance risks, recommending enhancements to policies, systems, and training.
Qualifications
5+ years of hands‑on compliance experience at a broker‑dealer, with an emphasis on product and/or marketing compliance.
Experience in a fintech environment strongly preferred.
Strong knowledge of FINRA and SEC rules, with demonstrated ability to apply them pragmatically in a business setting.
B.A./B.S. degree in a relevant field (preferred).
Series 7 and Series 24 licenses required.
Technically savvy and quick to learn modern tech stacks.
Demonstrated ownership and pride in work; exceptional communication skills; resilience and creative problem‑solving abilities.
Preferred Qualifications
Experience supporting regulatory exams, audits, or inquiries with FINRA and/or the SEC.
Familiarity with employee compliance and customer complaint handling and reporting obligations.
Benefits
Hybrid work schedule for most positions to promote strong, in‑person collaboration and a healthy work‑life balance.
Comfortable, collaboration‑focused office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX.
Competitive pay, equity for eligible positions, premium healthcare, dental, and vision insurance plans.
401(k) plan with matching contributions and immediate vesting.
Generous paid parental leave.
Professional growth and development opportunities with an annual L&D budget.
Physical and emotional wellness programs.
Company perks program (discounts on pet insurance, fitness, cell phone plans, entertainment, and travel).
Financial guidance program.
EEO Statement At Altruist we are dedicated to building a diverse, inclusive, and authentic workplace. If you’re excited about this role but your past experience doesn’t align perfectly with all qualifications, we encourage you to apply. You may be the right candidate for this or other roles.
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is a modern custodian built exclusively for independent financial advisors, combining a self‑clearing brokerage firm with intuitive software for account opening, trading, reporting, and billing—all in one streamlined solution. We partner with advisors across the U.S. to reduce costs, save time, grow their business, and provide better outcomes for their clients. Our mission is to make financial advice better, more affordable, and accessible to everyone.
Location Dallas, TX (hybrid work schedule)
Salary Range $90,000—$130,000 USD
Responsibilities
Support regulatory compliance for Altruist’s FINRA‑member broker‑dealer and SEC‑registered investment adviser.
Partner cross‑functionally on new product initiatives, setting compliance guardrails, resolving conflicts, and making determinations in consultation with Compliance leadership.
Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules.
Review and approve product‑specific communications, disclosures, and materials across web and app platforms.
Provide support across core compliance functions, including employee compliance, surveillance, vendor oversight, customer complaint handling, and ad‑hoc initiatives based on broader business needs.
Act as an escalation point and provide support to colleagues and business partners on compliance‑related matters.
Assist with the development and monitoring of compliance policies and procedures and support regulatory exams and inquiries as needed.
Identify and elevate emerging compliance risks, recommending enhancements to policies, systems, and training.
Qualifications
5+ years of hands‑on compliance experience at a broker‑dealer, with an emphasis on product and/or marketing compliance.
Experience in a fintech environment strongly preferred.
Strong knowledge of FINRA and SEC rules, with demonstrated ability to apply them pragmatically in a business setting.
B.A./B.S. degree in a relevant field (preferred).
Series 7 and Series 24 licenses required.
Technically savvy and quick to learn modern tech stacks.
Demonstrated ownership and pride in work; exceptional communication skills; resilience and creative problem‑solving abilities.
Preferred Qualifications
Experience supporting regulatory exams, audits, or inquiries with FINRA and/or the SEC.
Familiarity with employee compliance and customer complaint handling and reporting obligations.
Benefits
Hybrid work schedule for most positions to promote strong, in‑person collaboration and a healthy work‑life balance.
Comfortable, collaboration‑focused office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX.
Competitive pay, equity for eligible positions, premium healthcare, dental, and vision insurance plans.
401(k) plan with matching contributions and immediate vesting.
Generous paid parental leave.
Professional growth and development opportunities with an annual L&D budget.
Physical and emotional wellness programs.
Company perks program (discounts on pet insurance, fitness, cell phone plans, entertainment, and travel).
Financial guidance program.
EEO Statement At Altruist we are dedicated to building a diverse, inclusive, and authentic workplace. If you’re excited about this role but your past experience doesn’t align perfectly with all qualifications, we encourage you to apply. You may be the right candidate for this or other roles.
#J-18808-Ljbffr