Compliance Officer

Altruist • Dallas, TX

6d • $119,000 - $164,000 • Hybrid

About The Position

Altruist is transforming the multi-trillion dollar wealth management industry by building an AI platform for wealth professionals. We partner with financial advisors nationwide, empowering them to grow, optimize time and resources, and deliver superior outcomes for their clients. We're looking for exceptional talent to help us achieve our mission of making financial advice better, more affordable, and accessible to all. If you're passionate about challenging the status quo and want to do the most important work of your life, we'd love to meet you!

We're hiring a Compliance Officer to serve as the functional compliance lead for Altruist Advisors, Altruist's new SEC-registered investment adviser. You'll be the primary point of contact and subject-matter expert for the RIA, owning the Investment Adviser Representative (IAR) relationship end-to-end and helping build and scale the RIA's compliance program from the ground up. You'll partner directly with the Head of Compliance and with Product as we launch and grow our new corporate RIA offering.

This is a senior individual-contributor role. You'll own substantive compliance work across the RIA's program — with support — while operating with the judgment and independence to shape how the program is built. You'll also serve as a trusted partner to teams across Product, Engineering, Operations, and Marketing.

This is a hybrid role requiring three days per week in the office.

Requirements

• 5+ years of hands-on investment adviser compliance experience, with demonstrated ability to execute across the full range of a compliance program.
• 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.
• 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.
• 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.
• 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.
• Technologically savvy; gets up to speed quickly on modern tech stacks and partners credibly with Engineering and Product.
• Bachelor's degree (B.A. or B.S.) in a relevant field.

Nice To Haves

• Broker-dealer compliance experience preferred.
• Familiarity with FINRA rules a plus given cross-entity support.
• 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
• Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly after joining also welcome.

Responsibilities

• Act as the lead compliance point of contact and subject-matter expert for Altruist Advisors, our new SEC-registered investment adviser.
• Own the IAR relationship from a compliance perspective, from onboarding through offboarding, including oversight of ongoing IAR activity.
• Assist in the build-out and scaling of the RIA's compliance program, including the development and management of policies and procedures.
• Own the preparation, maintenance, and timely filing of Form ADV (Parts 1, 2A, and 2B), including annual updating amendments and other-than-annual amendments as material changes arise.
• Partner closely with Altruist's Product team to provide compliance input and guidance on the new corporate RIA offering.
• Review and approve IAR marketing materials and communications under the SEC Marketing Rule.
• Own vendor relationships supporting the RIA's compliance program.
• Conduct ongoing oversight and monitoring of IAR activity, escalating issues and driving remediation.
• Provide general compliance support to Altruist's other regulated entities, including the broker-dealer, as required.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior