Compliance Director

Altruist•Los Angeles, CA

1d•Hybrid

About The Position

Altruist is seeking a Compliance Director to lead a significant part 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 position is a player-coach role, requiring strategic planning, team development, and hands-on involvement in substantive compliance work. The Compliance Director will collaborate with executives across various departments and serve as a key 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.
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.
Track record as a lead point of contact with regulators, including managing exams, inquiries, and substantive remediation.
Ability to set multi-quarter direction, anticipate second-order effects of regulatory and product change, and connect regulatory shifts to operational impact.
Ability to hire strong talent, develop associates, run rigorous calibration and performance management, and set a high quality bar across multiple programs.
Trusted partner to VPs and C-suite; ability to brief executives on complex risk topics and contribute 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; ability to get up to speed quickly on modern tech stacks and partner credibly with Engineering and Product.
Ability to drive outcomes across Compliance, Legal, Operations, Product, and Engineering; persuade 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.
Series 4 preferred or required within 90 days of hire.

Responsibilities

Own the Marketing Compliance program end-to-end, including review and approval of 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.
Partner directly with the Head of Compliance as a senior individual contributor on the firm's Written Supervisory Procedures (WSPs) and on product compliance reviews for new launches and material changes.
Lead, coach, and grow the compliance team, setting the quality bar and developing associates.
Set multi-quarter strategy and roadmap for the compliance pillar, aligned with firm strategy, product direction, and regulatory changes.
Serve as a lead Compliance point of contact for regulators within scope, co-authoring regulator-facing positions and managing enforcement and remediation work.
Drive remediation of material issues, own the control environment, and ensure accountability for outcomes.
Identify, assess, and escalate emerging regulatory risk, recommending and implementing 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).
Equity in the form of Stock Options (ISOs) for eligible roles.