Compliance Director

Altruist•Los Angeles, CA

1d•Hybrid

About The Position

Altruist is seeking a Compliance Director to oversee a significant portion of its compliance program, focusing on Marketing Compliance, Third-Party RIA Regulatory Requests, and Employee Compliance. This role involves managing licensing, registration, continuing education, and the Insider Trading program. The Director will lead a team of two compliance associates and collaborate with the Head of Compliance on Written Supervisory Procedures (WSPs) and product compliance. This is a player-coach position requiring strategic planning, team development, and hands-on involvement in critical compliance tasks. The role also involves partnering with executives in Product, Engineering, Legal, and Marketing, and serving as a primary contact for regulators. This is a hybrid role requiring three days per week in the office.

Requirements

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.
Investment adviser compliance experience strongly preferred.
Prior experience in a fintech or high-growth financial services environment strongly preferred.
Direct experience owning at least two of: marketing compliance, third-party RIA regulatory requests, or employee compliance (licensing, registration, CE, and insider trading).
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.
Track record as a lead point of contact with regulators, including managing exams, inquiries, and substantive remediation.
Sets multi-quarter direction, anticipates second-order effects of regulatory and product change, and connects regulatory shifts to operational impact.
Hires strong talent, develops associates toward the next level, runs rigorous calibration and performance management, and sets a high quality bar across multiple programs.
Trusted partner to VPs and C-suite; briefs executives on complex risk topics and contributes to board materials.
Bachelor's degree (B.A. or B.S.) in a relevant field.
Series 7 and Series 24 required; Series 4 preferred or required within 90 days of hire.
Technologically savvy; gets up to speed quickly on modern tech stacks and partners credibly with Engineering and Product.
Drives outcomes across Compliance, Legal, Operations, Product, and Engineering; persuades with data and regulatory rationale rather than authority.

Nice To Haves

Hands-on experience authoring and maintaining Written Supervisory Procedures (WSPs).
Experience administering an insider trading program.

Responsibilities

Own the Marketing Compliance 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.
Own the Employee Compliance 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).
Own the Third-Party RIA Regulatory Requests 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).
Partner directly with the Head of Compliance as a senior individual contributor 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.

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.
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 after one year of employment.
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.