Senior Compliance Associate

Altruist

1 month ago

3.6 on Glassdoor

Los Angeles, CA

Hybrid

Full Time

Senior

1 applicant

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About this role

A Senior Compliance Associate at Altruist helps ensure regulatory compliance for the company’s FINRA-member broker-dealer and SEC-registered investment adviser while supporting broader regulatory initiatives. The role supports aligning compliance strategy with Altruist’s mission to build an AI platform for wealth professionals, balancing regulatory rigor with product innovation.

Skills

Qualifications

B.A. / B.S.Series 7Series 24Series 4 (within 90 days preferred)

About Altruist

altruist.com

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