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Compliance Officer at Altruist - ApplyBlast

Compliance Officer

Altruist

3 months ago

3.6 on Glassdoor

Los Angeles, CA

Hybrid

Full Time

Senior

1 applicant

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About this role

Altruist is seeking a senior Compliance Officer to serve as the functional compliance lead for their new SEC-registered investment adviser, Altruist Advisors. This individual contributor role involves owning the Investment Adviser Representative relationship, building the compliance program from the ground up, and partnering with Product, Engineering, and Operations teams. The position requires deep expertise in SEC regulations, Form ADV filings, and the Investment Advisers Act to ensure regulatory adherence while scaling the firm.

Responsibilities

Serve as primary point of contact for the SEC-registered investment adviser
Own the Investment Adviser Representative relationship from onboarding to offboarding
Build and scale the RIA compliance program including policies and procedures
Prepare and file Form ADV Parts 1, 2A, and 2B with timely amendments
Review and approve marketing materials under the SEC Marketing Rule

Skills

Qualifications

Bachelor's degree in a relevant fieldSeries 65/66 license preferredSeries 7 license preferredSeries 24 license preferred

About Altruist

altruist.com

Headquarters

Culver City, California, United States

Company Size

51-200 employees

Founded

2018

View Profile

Altruist is a financial custodian and technology platform built for independent RIAs and wealth managers, positioning itself as a modern, lower‑cost alternative to legacy custodians. It combines custody and brokerage with integrated advisor tools — digital account opening, trading and rebalancing, billing, reporting, and APIs/integrations — so advisors can streamline operations and focus on client advice. Altruist emphasizes simple pricing, developer‑friendly integrations, and client‑facing workflows to reduce administrative friction and speed onboarding.

Recent company news

RIABiz

Ross Gerber's deal to sell Joe Duran a minority stake in his $4-billion RIA fell through, but he took Duran's advice to wean his company off LPL -- and gave Altruist the nod as 'primary custodian'

1 day ago