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.
Responsibilities
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.
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, inquir
Benefits
Health insurance
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.
Altruist · San Francisco, CA