Senior Analyst, Operational Risk - Client Communications & Controls

Altruist•Dallas, TX

3h•$79,000 - $107,000•Hybrid

About The Position

Altruist is continuing to scale its Operational Risk Oversight & Controls (OROC) function and is hiring a Senior Analyst focused on client communications and document governance. In this role, you will provide second-line oversight of client-facing operational workflows including statements, document delivery, branding governance, and communication handling. You will execute structured supervisory reviews, validate vendor outputs, monitor control effectiveness, and ensure communication-related processes meet regulatory, documentation, and audit standards. This role operates within the firm’s independent oversight framework and plays a direct role in regulatory defensibility and audit readiness.

Requirements

3-5 years in broker-dealer operations, clearing and custody environments, regulatory supervision support, or financial services risk and controls roles
Experience executing structured reviews, validating control outputs, and maintaining defensible documentation standards
Strong working knowledge of statements, confirms, tax forms, ACATs, corporate actions,
Securities Licenses - Active FINRA Series 7 required, willingness to pursue the Series 24 within a defined time preferred
Strong proficiency in Google Sheets and Excel
Comfort working in oversight and vendor platforms such as FIS, Mediant, BetaNXT/Maxit, Sovos, Sterling Risk, FINRA CAT, Retool, Tableau, SS&C, proxy and voting platforms, and workflow systems such as JIRA and Slack
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, operations, product, 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

Responsibilities

Execute second-line supervisory reviews over statement production, document uploads, branding updates, and communication templates prior to release
Perform daily and periodic reconciliations, including statement counts versus vendor consoles and document validation controls
Monitor suspense and exception queues related to communications, account maintenance, and document delivery workflows
Escalate identified control gaps, vendor issues, and documentation deficiencies with clear risk summaries and supporting evidence
Provide independent oversight of address updates and delivery preference changes, validating regulatory documentation and system accuracy
Monitor and track returned mail, undeliverable statements, and bounced communications, ensuring appropriate remediation and control documentation
Serve as oversight partner to Operations, Product, Engineering, Compliance, and third-party vendors to strengthen communication-related control frameworks
Maintain audit-ready documentation and supervisory review trails to support BDO audits and regulatory examinations
Identify structural weaknesses in communication workflows and recommend control enhancements

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.