Senior Compliance Associate
Altruist(4 days ago)
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.
Required Skills
- Product Compliance
- Marketing Compliance
- SEC Rules
- FINRA Rules
- Policy Development
- Vendor Oversight
- Complaint Handling
- Communication
- Technical Aptitude
- Problem Solving
Qualifications
- B.A. / B.S.
- Series 7
- Series 24
- Series 4 (within 90 days preferred)
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.