Compliance Officer

About the role

We're hiring a Compliance Officer to serve as the functional compliance lead for Altruist Advisors, Altruist's new SEC-registered investment adviser. 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.

Responsibilities

• Act as the lead compliance point of contact and subject-matter expert for Altruist Advisors, our new SEC-registered investment adviser.
• Own the IAR relationship from a compliance perspective, from onboarding through offboarding, including oversight of ongoing IAR activity.
• Assist in the build-out and scaling of the RIA's compliance program, including the development and management of policies and procedures.
• 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.
• Partner closely with Altruist's Product team to provide compliance input and guidance on the new corporate RIA offering.
• Review and approve IAR marketing materials and communications under the SEC Marketing Rule.
• Own vendor relationships supporting the RIA's compliance program.
• Conduct ongoing oversight and monitoring of IAR activity, escalating issues and driving remediation.
• Provide general compliance support to Altruist's other regulated entities, including the broker-dealer, as required.

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.
• Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly after joining also welcome.
• 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.
• 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.
• Technologically savvy; gets up to speed quickly on modern tech stacks and partners credibly with Engineering and Product.

Qualifications

• 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.

Skills

• Regulatory expertise
• Technical aptitude
• Collaboration and communication skills

Benefits

Attracting and retaining top-tier talent is a priority. We are proud of the culture we’ve built and are cognizant of the ever-changing professional landscape. Our dynamic offering of perks and benefits are tailored for you to feel your best while doing your best.

• A hybrid work schedule for most positions to promote strong, in-person collaboration.
• Stunning, amenity-filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX. Our offices are intentionally designed for comfort, collaboration, and productivity.
• Competitive pay and equity for eligible positions.
• Premium healthcare, dental, and vision insurance plans (HMO and PPO).
• 401k savings plan with a 4% match and immediate vesting.
• 16 week paid parental leave.
• Professional growth and development opportunities including an employee mobility program and an annual L&D budget allocation for each employee.
• Company perks program (includes discounts on pet insurance, fitness, cell phone plans, and travel, etc.).
• 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).

Pay

Dallas, TX salary range: $119,000 - $164,000 USD

Schedule

This is a hybrid role requiring three days per week in the office.