Senior Compliance Manager

Altruist•Dallas, TX

16h•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 looking for a Senior Compliance Manager to join our Compliance team. In this role, you’ll serve as a key compliance leader for clearing operations, providing expert guidance across clearing products and services while supporting firmwide regulatory initiatives. Your expertise will help ensure clearing activity, products, and communications remain compliant as the business scales and continues to innovate.

Requirements

7+ years of hands-on compliance experience at a FINRA-member broker-dealer, with deep knowledge of clearing operations (required)
Strong knowledge of FINRA and SEC rules, with demonstrated ability to apply them pragmatically in a business setting
B.A. / B.S. degree in relevant fields
Active Series 7 and Series 24 licenses required; Series 4 required within 90 days
You’re technologically savvy and can easily get up to speed on modern tech stacks
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.

Nice To Haves

Experience in a fintech environment strongly preferred
Experience supporting regulatory exams, audits, or inquiries with FINRA and/or the SEC
Familiarity with employee compliance and customer complaint handling and reporting obligations

Responsibilities

Support regulatory compliance for Altruist’s FINRA-member broker-dealer and SEC-registered investment adviser
Serve as the subject matter expert for all clearing-related compliance matters
Conduct trade surveillance and monitoring for trading on the platform
Own the firm’s Insider Trading Policy and related workstreams, including surveillance of employee trading activity, setting restrictions, and remediating exceptions
Support regulatory affairs by coordinating responses with operations and technical stakeholders and serving as a clearing operations SME in regulatory interactions
Lead the customer complaint lifecycle, including intake, response support, and quarterly regulatory filings
Partner cross-functionally on new product initiatives related to clearing operations, establishing compliance guardrails, resolving conflicts, and making risk determinations in consultation with Compliance leadership
Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules
Provide support across core compliance functions, including employee compliance, surveillance, vendor oversight, and ad-hoc initiatives aligned with business needs
Assist with the development, implementation, and monitoring of compliance policies and procedures, and support regulatory exams and inquiries
Identify and escalate emerging compliance risks and recommend enhancements to policies, systems, controls, and training

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).