Job Description

About Altruist Altruist is the modern custodian built exclusively for independent financial advisors, combining 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. partner 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 — but we can't do it alone. We're seeking exceptional talent to join our team. 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! Our values include: Kindness: Listening to understand, embracing healthy debate, and respecting diverse perspectives. Brilliance: Humility, growth mindset, ownership, and teamwork to reach common goals. Grit: Staying focused on our mission, being nimble, and overcoming obstacles with urgency. The opportunity Altruist is experiencing exceptional growth. We are hiring a Compliance Associate for our Compliance team. This role supports core regulatory functions within our broker-dealer, including licensing, complaint handling, surveillance, and regulatory affairs, as well as marketing reviews and managing relationships with compliance vendors and technology providers. The ideal candidate is detail-oriented, proactive, and thrives in a fast-paced environment, collaborating across teams to ensure regulatory compliance. Responsibilities include: Serve as a key contact for licensing and registration, including document gathering, filings via FINRA Firm Gateway, and administrative workflows. Assist in developing and delivering compliance training for employees. Act as primary contact for compliance vendors and technology platforms, supporting oversight and issue resolution. Review and track customer complaints, supporting quarterly regulatory filings. Conduct routine communications and trade surveillance, escalating issues as needed. Coordinate regulatory responses and support data gathering for examinations and inquiries. Review marketing materials for regulatory compliance. Support the broader compliance team with various tasks, demonstrating curiosity, ownership, and collaboration. Qualifications: 2-5 years in compliance, legal, risk, or operational functions, preferably in fintech. Knowledge of FINRA and SEC rules and regulations. Experience drafting policies, procedures, or regulatory responses. Ability to manage multiple priorities and collaborate across teams. B.A. / B.S. degree preferred. Series 7 license required; Series 24 preferred or willing to obtain within three months. Technical skills and qualities: Technologically savvy. Ownership, superb communication, resilience, assurance, and creative problem-solving skills. Bonus points for: Experience with Salesforce and FINRA Gateway. Familiarity with RIA operations and regulation. Experience in startup or high-growth environments. Location and compensation Los Angeles, CA salary range: $79,000-$113,000 USD. We offer a hybrid work schedule, office amenities, competitive pay, equity, comprehensive benefits, 401(k), wellness programs, and more. We encourage candidates from diverse backgrounds to apply, even if you don't meet every qualification. Your unique perspective could be a perfect fit for this or other roles. #J-18808-Ljbffr Altruist

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