Senior Compliance Associate

Altruist•Dallas, TX

3d•$90,000 - $130,000•Hybrid

About The Position

Altruist is entering an exciting phase, and we're looking for a Senior Compliance Associate to join our Compliance team. In this role, you’ll play a key part in shaping product and marketing compliance while also supporting broader regulatory initiatives. Your expertise will ensure our products, communications, and operations remain compliant while enabling innovation and growth.

Requirements

5+ years of hands-on compliance experience at a broker-dealer, with an emphasis on product and/or marketing compliance
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.
Ideally looking for a B.A. / B.S. degree in relevant fields.
The Series 7 and Series 24 licenses are required for this role. Series 4 preferred or required within 90 days.
You’re technologically savvy and can easily get up to speed on modern tech stacks.
The pride you put into every aspect of your work is unparalleled and undeniable.
You engage in intentional dialogue, listen actively, and share perspectives thoughtfully, with the ability to influence and build trust across compliance, product, marketing, and engineering teams.
We’re inspired by your unwavering determination to achieve success, no matter the adversity you face along the way.
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.
Identifying the problem is simply not enough. You’re instinctually creative with your approach in finding solutions to roadblocks.

Nice To Haves

Experience supporting regulatory exams, audits, or inquiries with FINRA and/or the SEC
Familiarity with employee compliance and customer complaint handling and reporting obligations.

Responsibilities

Support regulatory compliance for Altruist’s FINRA-member broker-dealer and SEC-registered investment adviser
Partner cross-functionally on new product initiatives, setting compliance guardrails, resolving conflicts, and making determinations in consultation with Compliance leadership
Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules
Review and approve product-specific communications, disclosures, and materials across web and app platforms
Provide support across core compliance functions, including employee compliance, surveillance, vendor oversight, customer complaint handling, and ad-hoc initiatives based on broader business needs
Act as an escalation point and provide support to colleagues and business partners on compliance-related matters
Assist with the development and monitoring of compliance policies and procedures, and support regulatory exams and inquiries as needed
Identify and escalate emerging compliance risks, recommending enhancements to policies, systems, and training

Benefits

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.