Compliance Director

Altruist is hiring a Compliance Director to own a major pillar of their compliance program, including marketing compliance, third-party RIA regulatory requests, and employee compliance. The role requires 10+ years of hands-on compliance experience and the ability to lead and develop a team.

Requirements

• 10+ years of hands-on compliance experience at a broker-dealer and/or investment adviser
• 3+ years of leading and developing teams
• Direct experience owning at least two of: marketing compliance, third-party RIA regulatory requests, or employee compliance
• Regulatory expertise, including FINRA and SEC rules
• Regulator-facing experience, including managing exams and inquiries
• Strategic leadership, people leadership, and executive presence
• Education: Bachelor's degree in a relevant field
• Securities licenses: Series 7 and Series 24 required; Series 4 preferred or required within 90 days of hire
• Technical aptitude and influence and communication skills

Benefits

• Competitive pay and equity for eligible positions
• Premium healthcare, dental, and vision insurance plans
• 401k savings plan with a 4% match and immediate vesting
• 16 week paid parental leave after one year of employment
• Professional growth and development opportunities
• Company perks program
• Financial guidance program
• One month work from anywhere policy