Senior Compliance Manager at Altruist Corp

Dallas, Texas, United States -

Full Time

Start Date

Immediate

Expiry Date

05 May, 26

Salary

0.0

Posted On

04 Feb, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Regulatory Affairs, Trade Surveillance, Insider Trading Policy, Product Compliance, Communication, Problem Solving, Technical Aptitude, Risk Determination, Employee Compliance, Vendor Oversight, Creative Thinking, Team Collaboration, Adaptability, Conflict Resolution, Growth Mindset

Industry

Financial Services

Description

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 looking for a Senior Compliance Manager to join our Compliance team. In this role, you’ll serve as a key compliance leader for clearing operations, providing expert guidance across clearing products and services while supporting firmwide regulatory initiatives. Your expertise will help ensure clearing activity, products, and communications remain compliant as the business scales and continues to innovate. Your impact Support regulatory compliance for Altruist’s FINRA-member broker-dealer and SEC-registered investment adviser Serve as the subject matter expert for all clearing-related compliance matters Conduct trade surveillance and monitoring for trading on the platform Own the firm’s Insider Trading Policy and related workstreams, including surveillance of employee trading activity, setting restrictions, and remediating exceptions Support regulatory affairs by coordinating responses with operations and technical stakeholders and serving as a clearing operations SME in regulatory interactions Lead the customer complaint lifecycle, including intake, response support, and quarterly regulatory filings Partner cross-functionally on new product initiatives related to clearing operations, establishing compliance guardrails, resolving conflicts, and making risk determinations in consultation with Compliance leadership Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules Provide support across core compliance functions, including employee compliance, surveillance, vendor oversight, and ad-hoc initiatives aligned with business needs Assist with the development, implementation, and monitoring of compliance policies and procedures, and support regulatory exams and inquiries Identify and escalate emerging compliance risks and recommend enhancements to policies, systems, controls, and training What you bring Experience - 7+ years of hands-on compliance experience at a FINRA-member broker-dealer, with deep knowledge of clearing operations (required) 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 Education - B.A. / B.S. degree in relevant fields Securities licenses - Active Series 7 and Series 24 licenses required; Series 4 required within 90 days Technical aptitude - You’re technologically savvy and can easily get up to speed on modern tech stacks 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. Bonus points if you bring Experience supporting regulatory exams, audits, or inquiries with FINRA and/or the SEC Familiarity with employee compliance and customer complaint handling and reporting obligations 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. 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.

Responsibilities

The Senior Compliance Manager will serve as a key compliance leader for clearing operations, providing expert guidance and ensuring compliance as the business scales. Responsibilities include supporting regulatory compliance, conducting trade surveillance, and leading the customer complaint lifecycle.