Compliance Director

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're 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!

But first, our values

Kindness- Kindness doesn't just equal niceness. We listen to understand. We embrace, and encourage healthy debate and diverse perspectives. We approach conflict openly, honestly, and respectfully.

Brilliance- Humility is the skill we're most proud of and possessing a growth mindset is always top of mind. We take ownership in everything we touch; regularly using our unique superpowers to reach a common goal as a team. We succeed and fail as one.

Grit- When challenges arise, we stay laser focused on achieving our mission and finding a way forward, even when it's hard. We are nimble and maintain a sense of urgency, swiftly adapting to change and overcoming obstacles.

The opportunity

We're hiring a Compliance Director to own a major pillar of Altruist's compliance program spanning Marketing Compliance, Third-Party RIA Regulatory Requests, and Employee Compliance - including licensing and registration, continuing education, and our Insider Trading program. You'll lead a team of two compliance associates supporting these programs and partner directly with the Head of Compliance as a senior individual contributor on Written Supervisory Procedures (WSPs) and product compliance.

This is a player-coach role. You'll set multi-quarter strategy across the pillar, develop the talent on your team, and stay hands-on on the highest-leverage substantive work. You'll also serve as a trusted partner to executives across Product, Engineering, Legal, and Marketing, and as a lead point of contact for regulators on matters within scope.

• This is a hybrid role requiring three days per week in the office.

Your impact

• Marketing Compliance- Own the program end-to-end, including the review and approval framework for product-specific communications, disclosures, and materials across web and app platforms under FINRA Rule 2210 and the SEC Marketing Rule.
• Employee Compliance- Own the program end-to-end, including licensing and registration, continuing education, new employee onboarding, issue remediation, and the firm's Insider Trading program (pre-clearance, blackout windows, and ongoing monitoring).
• Third-Party RIA Regulatory Requests- Own the program end-to-end, including responses to regulator requests for information about RIAs that custody on Altruist's platform (records, transactions, holdings, correspondence, and related production).
• WSPs and product compliance- Partner directly with the Head of Compliance as a senior IC on the firm's Written Supervisory Procedures and on product compliance reviews for new launches and material changes.
• Lead, coach, and grow the team; set the quality bar across all three programs and develop both associates toward the next level
• Set multi-quarter strategy and roadmap for the pillar, aligned to firm strategy, product direction, and the regulatory horizon
• Serve as a lead Compliance point of contact for regulators within scope; co-author regulator-facing positions with Legal and manage substantive enforcement and remediation work
• Drive remediation of material issues across the pillar; own the control environment and accountability for outcomes
• Identify, assess, and escalate emerging regulatory risk; recommend and implement enhancements to policies, systems, controls, and training
• Brief executives and contribute to board and audit/risk committee materials on substantive risk and compliance topics

What you bring

• Experience- 10+ years of hands-on compliance experience at a broker-dealer and/or investment adviser, including 3+ years leading and developing teams. Demonstrated ownership of multiple compliance programs at scale, with comfort operating as a player-coach.
• Investment adviser compliance experience strongly preferred
• Prior experience in a fintech or high-growth financial services environment strongly preferred
• Program breadth- Direct experience owning at least two of: marketing compliance, third-party RIA regulatory requests, or employee compliance (licensing, registration, CE, and insider trading)
• Regulatory expertise- Deep knowledge of FINRA and SEC rules, including FINRA Rule 2210, the SEC Marketing Rule, and the Investment Advisers Act, with the judgment to shape substantive positions, set policy, and apply regulations in a practical, solutions-oriented way
• Regulator-facing experience- Track record as a lead point of contact with regulators, including managing exams, inquiries, and substantive remediation
• Strategic leadership- Sets multi-quarter direction, anticipates second-order effects of regulatory and product change, and connects regulatory shifts to operational impact
• People leadership- Hires strong talent, develops associates toward the next level, runs rigorous calibration and performance management, and sets a high quality bar across multiple programs
• Executive presence- Trusted partner to VPs and C-suite; briefs executives on complex risk topics and contributes to board materials
• Education- Bachelor's degree (B.A. or B.S.) in a relevant field
• Securities licenses- Series 7 and Series 24 required; Series 4 preferred or required within 90 days of hire
• Technical aptitude- Technologically savvy; gets up to speed quickly on modern tech stacks and partners credibly with Engineering and Product
• Influence and communication- Drives outcomes across Compliance, Legal, Operations, Product, and Engineering; persuades with data and regulatory rationale rather than authority
• Bonus points if you bring:
• Hands-on experience authoring and maintaining Written Supervisory Procedures (WSPs)
• Experience administering an insider trading program 

Dallas, TX salary range

$141,000—$192,000 USD

What we bring

Attracting and retaining top-tier talent is a priority. We are proud of the culture we've built and are cognizant of the ever-changing professional landscape. Our dynamic offering of perks and benefits are tailored for you to feel your best while doing your best.

• A hybrid work schedule for most positions to promote strong, in-person collaboration.
• Stunning, amenity-filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX. Our offices are intentionally designed for comfort, collaboration, and productivity. 
• Competitive pay and equity for eligible positions.
• Premium healthcare, dental, and vision insurance plans (HMO and PPO).
• 401k savings plan with a 4% match and immediate vesting.
• 16 week paid parental leave after one year of employment.
• Professional growth and development opportunities including an employee mobility program and an annual L&D budget allocation for each employee.
• Company perks program (includes discounts on pet insurance, fitness, cell phone plans, and travel, etc.).
• Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home-purchasing preparedness, etc.).
• One month work from anywhere policy (with the exception of a few countries).

Total compensation includes a competitive benefits package, along with equity in the form of Stock Options (ISOs) for eligible roles. For salaried positions, a salary offer will be determined by a number of factors including experience, skill level, internal pay equity, geographic location, and other relevant business considerations. We review all employee pay and compensation programs regularly to ensure fair, equitable, and competitive pay. At Altruist, we are committed to providing fair, equitable, and competitive compensation by leveraging market data to inform our pay bands. Base salaries will be reviewed at regular intervals throughout the year, typically in conjunction with performance review cycles. By evaluating compensation on a regular basis, we are able to reward high performance and ensure all employees have opportunities for growth.

Don't meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they meet every single qualification. At Altruist we are dedicated to building a diverse, inclusive, and authentic workplace, so if you're excited about this role, but your past experience doesn't align perfectly with every qualification in the job description, we encourage you to apply anyways. You may be just the right candidate for this or other roles.