Altruist

Compliance Director

Dallas, TX · Director

Sponsorship not specified$141k-$192kDetected 28 days ago

CompliancePerformance ManagementOnboardingLeadershipCommunicationCollaboration

About the role

Marketing Compliance - Own the program end-to-end, including the review and approval framework for product-specific communications, disclosures, and materials across web and app platforms under FINRA Rule 2210 and the SEC Marketing Rule.
Third-Party RIA Regulatory Requests - Own the program end-to-end, including responses to regulator requests for information about RIAs that custody on Altruist's platform (records, transactions, holdings, correspondence, and related production).
WSPs and product compliance - Partner directly with the Head of Compliance as a senior IC on the firm's Written Supervisory Procedures and on product compliance reviews for new launches and material changes.
Lead, coach, and grow the team; set the quality bar across all three programs and develop both associates toward the next level
Serve as a lead Compliance point of contact for regulators within scope; co-author regulator-facing positions with Legal and manage substantive enforcement and remediation work
Drive remediation of material issues across the pillar; own the control environment and accountability for outcomes
Identify, assess, and escalate emerging regulatory risk; recommend and implement enhancements to policies, systems, controls, and training
You'll set multi-quarter strategy across the pillar, develop the talent on your team, and stay hands-on on the highest-leverage substantive work.

Demonstrated ownership of multiple compliance programs at scale, with 3+ years of experience operating as a people manager.
Bachelor's degree (B.A. or B.S.) in a relevant field

Hands-on experience authoring and maintaining Written Supervisory Procedures (WSPs)
Experience administering an insider trading program
Stunning, amenity-filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX.
Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home-purchasing preparedness, etc.).
One month work from anywhere policy (with the exception of a few countries).
Set multi-quarter strategy and roadmap for the pillar, aligned to firm strategy, product direction, and the regulatory horizon

This listing is sourced directly from Altruist's careers page and normalized into a canonical job model.