Senior Compliance Associate, Product and Marketing ComplianceAltruist • San Francisco, CA, United States
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Senior Compliance Associate, Product and Marketing Compliance
Altruist • San Francisco, CA, United States
[job_card.variable_days_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]Experience - 5+ years of hands-on compliance experience at a broker-dealer, with an emphasis on product and / or marketing compliance Experience in a fintech environment strongly preferred Strong knowledge of FINRA and SEC rules, with demonstrated ability to apply them pragmatically in a business setting Education - Ideally a B.A. / B.S. degree in relevant fields Securities licenses - The Series 7 and Series 24 licenses are required for this role Technical aptitude - You’re technologically savvy and can easily get up to speed on modern tech stacks Ownership - The pride you put into every aspect of your work is unparalleled and undeniable Superb communication - You engage in intentional dialogue, listen actively, and share perspectives thoughtfully, with the ability to influence and build trust across compliance, product, marketing, and engineering teams Resilience - We’re inspired by your unwavering determination to achieve success, no matter the adversity you face along the way Assurance - Your confidence is brilliant, yet ego-less. You possess a strong knowledge base, the ability to discover the unknown, and are open to differing perspectives Creative problem solving - You’re instinctually creative with your approach in finding solutions to roadblocks Bonus points if you bring Experience supporting regulatory exams, audits, or inquiries with FINRA and / or the SEC Familiarity with employee compliance and customer complaint handling and reporting obligations A hybrid work schedule for most positions to promote strong, in-person collaboration and a healthy work-life-balance Stunning, amenity-filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX Competitive pay, as well as equity for eligible positions Premium healthcare, dental, and vision insurance plans 401k savings plan with matching contributions and immediate vesting Generous paid parental leave Professional growth and development opportunities including an employee mobility program and an annual L&D budget allocation for each employee Physical and emotional wellness programs that nurture both your mind and body Company perks program (includes discounts on pet insurance, fitness, cell phone plans, entertainment and travel, etc.) Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home-purchasing preparedness, etc.) Mid-Senior level Full-time Finance and Sales
Overview
Senior Compliance Associate, Product at Altruist.
Location : San Francisco, CA. Salary range : $107,000—$153,000 USD.
About Altruist
Altruist is the modern custodian built exclusively for independent financial advisors that combines a self-clearing brokerage firm with intuitive software for account opening, trading, reporting, and billing — all in one streamlined solution. Financial advisors across the U.S. have partnered with Altruist to reduce costs, save time, grow their business, and provide better outcomes for their clients. Our mission is to make financial advice better, more affordable, and accessible to everyone.
If you’re passionate about challenging the status quo and making a meaningful impact in the financial advice industry, we’d love to meet you!
Your impact
- Support regulatory compliance for Altruist’s FINRA-member broker-dealer and SEC-registered investment adviser
- Partner cross-functionally on new product initiatives, setting compliance guardrails, resolving conflicts, and making determinations in consultation with Compliance leadership
- Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules
- Review and approve product-specific communications, disclosures, and materials across web and app platforms
- Provide support across core compliance functions, including employee compliance, surveillance, vendor oversight, customer complaint handling, and ad-hoc initiatives based on broader business needs
- Act as an escalation point and provide support to colleagues and business partners on compliance-related matters
- Assist with the development and monitoring of compliance policies and procedures, and support regulatory exams and inquiries as needed
- Identify and escalate emerging compliance risks, recommending enhancements to policies, systems, and training
What You Bring
What We Bring
Total compensation includes a competitive benefits package along with equity in the form of Stock Options (ISOs) for eligible roles. For salaried positions, a salary offer will be determined by a number of factors including experience, skill level, internal pay equity, geographic location, and other relevant business considerations.
Don’t meet every single requirement? We encourage you to apply anyway. We are dedicated to building a diverse, inclusive, and authentic workplace.
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