Senior Compliance Officer, Clearing & Surveillance

About the role

Altruist is looking for a Sr. Compliance Officer to serve as our hands-on clearing operations SME and own trade surveillance and monitoring across the platform. You'll be the dedicated clearing compliance resource on the team, setting the standard for how we monitor trading activity, partnering closely with Operations on the Written Supervisory Procedures (WSPs) and controls that govern clearing and broader brokerage operations, and stewarding our customer complaint program. *This is a hybrid role requiring three days per week in the office.

Responsibilities

• Serve as the firm's hands-on compliance SME for clearing operations - products, services, processes, and the regulatory obligations that govern them
• Act as the primary compliance point of contact for clearing operations, coordinating day-to-day with internal and external stakeholders
• Own trade surveillance and monitoring for all trading activity on the platform - set the program standard, identify patterns, escalate exceptions, and drive enhancements toward a more scalable, automated review process
• Own the development, maintenance, and periodic review of clearing-related Written Supervisory Procedures (WSPs); coordinate closely with Operations to keep procedures aligned to how the work is actually performed
• Test and monitor clearing controls; partner with Operations to remediate gaps and document evidence to a regulator-ready standard
• Steward Altruist's customer complaint regulatory lifecycle, including oversight of intake, response support, and quarterly FINRA filings
• Represent Altruist as the clearing operations and surveillance SME in regulatory exams, audits, and inquiries; coordinate substantive responses with Operations and technical stakeholders
• Support broader compliance functions and ad-hoc initiatives as the business scales
• What you bring
• Experience - 7+ years of hands-on compliance experience at a FINRA-member broker-dealer, with deep, hands-on knowledge of clearing operations (required)
• Direct, hands-on experience designing, running, or materially enhancing a trade surveillance and monitoring program (required)
• Demonstrated experience drafting and maintaining Written Supervisory Procedures (WSPs), and partnering with Operations to operationalize them
• Familiarity with customer complaint handling and reporting obligations, including FINRA quarterly filings
• Strong knowledge of FINRA and SEC rules, with demonstrated ability to apply them pragmatically in a business setting
• Experience in a fintech environment strongly preferred
• Education - B.A. / B.S. degree in relevant fields
• Securities licenses - Active Series 7 and Series 24 licenses required; additional licensing may be required based on role and business needs
• Technical aptitude - You're technologically savvy and can easily get up to speed on modern tech stacks; comfortable working with surveillance tooling and partnering with Engineering on automation
• Ownership - The pride you put into every aspect of your work is unparalleled and undeniable
• Superb communication - You engage in intentional dialogue, listen actively, and share perspectives thoughtfully, with the ability to influence and build trust across compliance, operations, product, and engineering teams
• Resilience - We're inspired by your unwavering determination to achieve success, no matter the adversity you face along the way
• Assurance - Your confidence is brilliant, yet ego-less. You possess a strong knowledge base, the ability to discover the unknown, and are open to differing perspectives
• Creative problem solving - Identifying the problem is simply not enough. You're instinctually creative with your approach in finding solutions to roadblocks

Benefits

Additional Information

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.

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