Compliance Officer

Join Altruist, a fast-growing fintech company, as a Compliance Officer. In this senior individual-contributor role, you will be the primary point of contact and subject-matter expert for Altruist Advisors, our new SEC-registered investment adviser. You will own the IAR relationship end-to-end, assist in building and scaling the RIA's compliance program, and partner closely with the Product team. You will also conduct ongoing oversight and monitoring of IAR activity and provide general compliance support to Altruist's other regulated entities.

• Act as the lead compliance point of contact and subject-matter expert for Altruist Advisors, overseeing the Investment Adviser Representative (IAR) relationship from onboarding through offboarding.
• Assist in the build-out and scaling of the RIA's compliance program, including the development and management of policies and procedures, and own the preparation, maintenance, and timely filing of Form ADV.
• Partner closely with Altruist's Product team to provide compliance input and guidance on the new corporate RIA offering, and review and approve IAR marketing materials and communications under the SEC Marketing Rule.
• Technical aptitude — Technologically savvy; gets up to speed quickly on modern tech stacks and partners credibly with Engineering and Product
• Ownership mindset — Comfortable owning a program end-to-end as a senior IC, setting the quality bar for substantive work while partnering with the Head of Compliance on strategy and direction
• Education — Bachelor's degree (B.A. or B.S.) in a relevant field
• Securities licenses — Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly after joining also welcome
• Regulatory expertise — Strong working knowledge of the Investment Advisers Act and the SEC Marketing Rule, with hands-on experience preparing and filing Form ADV, and the practical judgment to apply regulations in a solutions-oriented way and help stand up policies and controls. Familiarity with FINRA rules a plus given cross-entity support
• Cross-functional collaboration — Fosters and builds strong cross-functional relationships; drives outcomes across Compliance, Legal, Operations, Product, and Engineering and persuades with data and regulatory rationale rather than authority
• Speed and adaptability — Prior experience in a fintech or high-growth financial services environment, or a comparable track record that demonstrates the ability to move quickly and operate with ambiguity as programs are built
• Experience — 5+ years of hands-on investment adviser compliance experience, with demonstrated ability to execute across the full range of a compliance program. Broker-dealer compliance experience preferred
• Hands-on experience authoring and maintaining compliance policies and procedures for an RIA
• Experience with IAR onboarding, registration, and ongoing oversight at scale
• Experience managing compliance vendors and related tooling
• 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