Senior Compliance Manager

Altruist•San Francisco, CA

8d•$136,000 - $192,000•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 Senior Compliance Manager to help lead product and marketing compliance efforts, support employee compliance, and partner on broader regulatory initiatives, balancing strong compliance oversight with innovation and growth.

Requirements

Experience: 7+ years of hands-on compliance experience at a broker-dealer and investment adviser, with an emphasis on product and/or marketing compliance
Regulatory expertise - Strong knowledge of FINRA and SEC rules, paired with sound judgment and the ability to apply regulations in a practical, solutions-oriented manner
Education - Bachelor’s degree (B.A. or B.S.) in a relevant field
Securities licenses - Series 7 and Series 24 required; Series 4 preferred or required within 90 days of hire
Technical aptitude - You’re technologically savvy and can easily get up to speed on modern tech stacks
Ownership - The pride you put into every aspect of your work is unparalleled and undeniable
Superb communication - 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.
Resilience - We’re inspired by your unwavering determination to achieve success, no matter the adversity you face along the way.
Assurance - 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
Creative problem solving - Identifying the problem is simply not enough. You’re instinctually creative with your approach in finding solutions to roadblocks

Nice To Haves

Investment adviser compliance experience strongly preferred
Prior experience in a fintech or high-growth financial services environment strongly preferred
Hands-on experience managing licensing and registration functions
Experience interacting with regulators
Prior experience leading a team

Responsibilities

Lead key elements of Altruist’s regulatory compliance programs for its FINRA-member broker-dealer and SEC-registered investment adviser
Serve as a strategic compliance partner on new product initiatives, setting compliance guardrails, resolving issues, and making risk-based determinations in consultation with senior stakeholders
Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules, advising business and marketing teams
Oversee the review and approval of product-specific communications, disclosures, and materials across web and app platforms
Lead the employee compliance program, including licensing and registration, continuing education, issue remediation, and new employee onboarding
Support ad-hoc initiatives aligned with evolving business priorities
Serve as an escalation point for complex compliance matters, providing guidance and mentorship to colleagues and business partners
Drive the development, implementation, and ongoing monitoring of compliance policies and procedures
Identify, assess, and escalate emerging compliance risks, recommending and implementing 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).