Overview
About Altruist
Altruist is transforming the multi-trillion dollar wealth management industry by building an AI platform for wealth professionals. We partner with financial advisors nationwide, empowering them to grow, optimize time and resources, and deliver superior outcomes for their clients. We are looking for exceptional talent to help us achieve our mission of making financial advice better, more affordable, and accessible to all. If you're passionate about challenging the status quo and want to do the most important work of your life, we'd love to meet you! Values
Kindness, Brilliance, and Grit guide how we work as a team. We listen to understand, embrace healthy debate and diverse perspectives, and approach conflict openly, honestly, and respectfully. We take ownership, stay humble, and work toward shared goals with a growth mindset. When challenges arise, we stay focused, adaptable, and resolute. The opportunity
Altruist is entering an exciting phase, and we're looking for a Senior Compliance Associate to join our Compliance team. In this role, you’ll play a key part in shaping product and marketing compliance while also supporting broader regulatory initiatives. Your expertise will ensure our products, communications, and operations remain compliant while enabling innovation and growth. Your impact
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 escalate emerging compliance risks, recommending enhancements to policies, systems, and training What You Bring
Experience - 5+ years of hands-on compliance experience at a broker-dealer, with emphasis on product and/or marketing compliance; fintech environment experience strongly preferred; strong knowledge of FINRA and SEC rules with pragmatic application Education - B.A. / B.S. degree in relevant fields preferred Securities licenses - Series 7 and Series 24 required; Series 4 preferred or required within 90 days Technical aptitude - Tech-savvy and able to ramp up on modern tech stacks Ownership - Strong sense of accountability and pride in work Superb communication - Ability to influence and build trust across compliance, product, marketing, and engineering teams Resilience - Determination to achieve success despite adversity Assurance - Confident, open to differing perspectives, and capable of discovering the unknown Creative problem solving - Proactive in identifying and resolving roadblocks Bonus points - Experience supporting regulatory exams, audits, or inquiries with FINRA/SEC; familiarity with employee compliance and customer complaint handling What We Bring
A hybrid work schedule for most positions to promote collaboration Stunning office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX Competitive pay and equity for eligible positions Comprehensive healthcare plans (HMO and PPO) 401k with 4% match and immediate vesting 16 weeks paid parental leave Professional growth opportunities including an employee mobility program and annual L&D budget Company perks program with discounts on pet insurance, fitness, cell phone plans, and travel Financial guidance program covering debt navigation, budgeting, and planning goals One month work-from-anywhere policy (with some country exclusions) Total compensation includes a competitive benefits package, with equity in the form of Stock Options (ISOs) for eligible roles. Base salaries are determined by experience, location, and other relevant factors. Salaries are reviewed regularly to ensure fair and competitive pay.
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About Altruist
Altruist is transforming the multi-trillion dollar wealth management industry by building an AI platform for wealth professionals. We partner with financial advisors nationwide, empowering them to grow, optimize time and resources, and deliver superior outcomes for their clients. We are looking for exceptional talent to help us achieve our mission of making financial advice better, more affordable, and accessible to all. If you're passionate about challenging the status quo and want to do the most important work of your life, we'd love to meet you! Values
Kindness, Brilliance, and Grit guide how we work as a team. We listen to understand, embrace healthy debate and diverse perspectives, and approach conflict openly, honestly, and respectfully. We take ownership, stay humble, and work toward shared goals with a growth mindset. When challenges arise, we stay focused, adaptable, and resolute. The opportunity
Altruist is entering an exciting phase, and we're looking for a Senior Compliance Associate to join our Compliance team. In this role, you’ll play a key part in shaping product and marketing compliance while also supporting broader regulatory initiatives. Your expertise will ensure our products, communications, and operations remain compliant while enabling innovation and growth. Your impact
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 escalate emerging compliance risks, recommending enhancements to policies, systems, and training What You Bring
Experience - 5+ years of hands-on compliance experience at a broker-dealer, with emphasis on product and/or marketing compliance; fintech environment experience strongly preferred; strong knowledge of FINRA and SEC rules with pragmatic application Education - B.A. / B.S. degree in relevant fields preferred Securities licenses - Series 7 and Series 24 required; Series 4 preferred or required within 90 days Technical aptitude - Tech-savvy and able to ramp up on modern tech stacks Ownership - Strong sense of accountability and pride in work Superb communication - Ability to influence and build trust across compliance, product, marketing, and engineering teams Resilience - Determination to achieve success despite adversity Assurance - Confident, open to differing perspectives, and capable of discovering the unknown Creative problem solving - Proactive in identifying and resolving roadblocks Bonus points - Experience supporting regulatory exams, audits, or inquiries with FINRA/SEC; familiarity with employee compliance and customer complaint handling What We Bring
A hybrid work schedule for most positions to promote collaboration Stunning office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX Competitive pay and equity for eligible positions Comprehensive healthcare plans (HMO and PPO) 401k with 4% match and immediate vesting 16 weeks paid parental leave Professional growth opportunities including an employee mobility program and annual L&D budget Company perks program with discounts on pet insurance, fitness, cell phone plans, and travel Financial guidance program covering debt navigation, budgeting, and planning goals One month work-from-anywhere policy (with some country exclusions) Total compensation includes a competitive benefits package, with equity in the form of Stock Options (ISOs) for eligible roles. Base salaries are determined by experience, location, and other relevant factors. Salaries are reviewed regularly to ensure fair and competitive pay.
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