Senior Compliance Associate
Altruist(4 days ago)
About this role
Altruist is a fintech company building an AI platform for wealth professionals to modernize the wealth management industry. The Senior Compliance Associate will join the Compliance team to help ensure the company’s products, communications, and operations remain compliant while enabling innovation and growth. This role supports regulatory initiatives for the firm’s broker-dealer and SEC-registered investment adviser and helps shape product and marketing compliance strategy.
Required Skills
- Product Compliance
- Marketing Compliance
- Regulatory Compliance
- FINRA Knowledge
- SEC Knowledge
- Communication
- Vendor Oversight
- Surveillance
- Complaint Handling
- Policy Development
+3 more
Qualifications
- B.A. / B.S. Degree
- 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.
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