Senior Compliance Officer, Clearing & Surveillance

Altruist•Dallas, TX

1d•Hybrid

About The Position

Altruist is seeking a Sr. Compliance Officer to serve as the firm's hands-on clearing operations subject matter expert (SME) and to own trade surveillance and monitoring across the platform. This role will be the dedicated clearing compliance resource, responsible for setting the standard for trading activity monitoring, partnering with Operations on Written Supervisory Procedures (WSPs) and controls for clearing and brokerage operations, and managing the customer complaint program. This is a hybrid role requiring three days per week in the office.

Requirements

7+ years of hands-on compliance experience at a FINRA-member broker-dealer, with deep, hands-on knowledge of clearing operations (required)
Direct, hands-on experience designing, running, or materially enhancing a trade surveillance and monitoring program (required)
Demonstrated experience drafting and maintaining Written Supervisory Procedures (WSPs), and partnering with Operations to operationalize them
Familiarity with customer complaint handling and reporting obligations, including FINRA quarterly filings
Strong knowledge of FINRA and SEC rules, with demonstrated ability to apply them pragmatically in a business setting
Experience in a fintech environment strongly preferred
B.A. / B.S. degree in relevant fields
Active Series 7 and Series 24 licenses required; additional licensing may be required based on role and business needs
Technologically savvy and can easily get up to speed on modern tech stacks; comfortable working with surveillance tooling and partnering with Engineering on automation
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

Experience supporting regulatory exams, audits, or inquiries with FINRA and/or the SEC
Experience evaluating, implementing, or tuning surveillance tooling (commercial or in-house)

Responsibilities

Serve as the firm’s hands-on compliance SME for clearing operations — products, services, processes, and the regulatory obligations that govern them
Act as the primary compliance point of contact for clearing operations, coordinating day-to-day with internal and external stakeholders
Own trade surveillance and monitoring for all trading activity on the platform — set the program standard, identify patterns, escalate exceptions, and drive enhancements toward a more scalable, automated review process
Own the development, maintenance, and periodic review of clearing-related Written Supervisory Procedures (WSPs); coordinate closely with Operations to keep procedures aligned to how the work is actually performed
Test and monitor clearing controls; partner with Operations to remediate gaps and document evidence to a regulator-ready standard
Steward Altruist’s customer complaint regulatory lifecycle, including oversight of intake, response support, and quarterly FINRA filings
Represent Altruist as the clearing operations and surveillance SME in regulatory exams, audits, and inquiries; coordinate substantive responses with Operations and technical stakeholders
Support broader compliance functions and ad-hoc initiatives as the business scales

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).
Total compensation includes a competitive benefits package, along with equity in the form of Stock Options (ISOs) for eligible roles.