Senior Compliance Associate
Altruist(4 days ago)
About this role
Altruist is hiring a Senior Compliance Associate to join its Compliance team focused on product and marketing compliance for its FINRA-member broker-dealer and SEC-registered investment adviser. The role supports regulatory initiatives, shapes compliance guardrails for new products and marketing, and helps ensure products, communications, and operations remain compliant while enabling growth. The position contributes to policy development, regulatory exams, and cross-functional compliance support.
Required Skills
- Product Compliance
- Marketing Compliance
- SEC Rules
- FINRA Rules
- Policy Development
- Regulatory Exams
- Vendor Oversight
- Complaint Handling
- Cross-Functional Collaboration
- Technical Aptitude
+2 more
Qualifications
- B.A. / B.S.
- Series 7
- Series 24
- Series 4 (preferred or required within 90 days)
About Altruist
altruist.comAltruist 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.