Altruist

Altruist

Compliance Officer

San Francisco, CA

Sponsorship not specified$136k-$192kDetected 7 days ago
ComplianceVendor ManagementCommunicationCollaborationAdaptability

About the role

  • This is a senior individual-contributor role.
  • This is a hybrid role requiring three days per week in the office.

Responsibilities

  • Primary POC and SME - Act as the lead compliance point of contact and subject-matter expert for Altruist Advisors, our new SEC-registered investment adviser.
  • IAR lifecycle - Own the IAR relationship from a compliance perspective, from onboarding through offboarding, including oversight of ongoing IAR activity.
  • Program build-out - Assist in the build-out and scaling of the RIA's compliance program, including the development and management of policies and procedures.
  • Product partnership - Partner closely with Altruist's Product team to provide compliance input and guidance on the new corporate RIA offering.
  • Vendor management - Own vendor relationships supporting the RIA's compliance program.
  • You'll be the primary point of contact and subject-matter expert for the RIA, owning the Investment Adviser Representative (IAR) relationship end-to-end and helping build and scale the RIA's compliance program from the ground up.
  • You'll own substantive compliance work across the RIA's program - with support - while operating with the judgment and independence to shape how the program is built.

Requirements

  • 5+ years of hands-on investment adviser compliance experience, with demonstrated ability to execute across the full range of a compliance program.
  • Bachelor's degree (B.A. or B.S.) in a relevant field.
  • Experience - 5+ years of hands-on investment adviser compliance experience, with demonstrated ability to execute across the full range of a compliance program. Broker-dealer compliance experience preferred.
  • Speed and adaptability - Prior experience in a fintech or high-growth financial services environment, or a comparable track record that demonstrates the ability to move quickly and operate with ambiguity as programs are built.
  • Regulatory expertise - Strong working knowledge of the Investment Advisers Act and the SEC Marketing Rule, with hands-on experience preparing and filing Form ADV, and the practical judgment to apply regulations in a solutions-oriented way and help stand up policies and controls. Familiarity with FINRA rules a plus given cross-entity support.
  • Cross-functional collaboration - Fosters and builds strong cross-functional relationships
  • drives outcomes across Compliance, Legal, Operations, Product, and Engineering and persuades with data and regulatory rationale rather than authority.
  • Ownership mindset - Comfortable owning a program end-to-end as a senior IC, setting the quality bar for substantive work while partnering with the Head of Compliance on strategy and direction.
  • Technical aptitude - Technologically savvy
  • gets up to speed quickly on modern tech stacks and partners credibly with Engineering and Product.
  • Education - Bachelor's degree (B.A. or B.S.) in a relevant field.
  • Securities licenses - Series 65/66, Series 7, and Series 24 preferred

Nice to have

  • Hands-on experience authoring and maintaining compliance policies and procedures for an RIA
  • Experience with IAR onboarding, registration, and ongoing oversight at scale
  • Experience managing compliance vendors and related tooling
  • 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).
  • Marketing review - Review and approve IAR marketing materials and communications under the SEC Marketing Rule.
  • Ongoing oversight - Conduct ongoing oversight and monitoring of IAR activity, escalating issues and driving remediation.

Compensation

  • Form ADV - Own the preparation, maintenance, and timely filing of Form ADV (Parts 1, 2A, and 2B), including annual updating amendments and other-than-annual amendments as material changes arise.
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