Compliance Director

About Altruist Altruist is transforming the multi-trillion dollar wealth management industry by building an AI platform for wealth professionals. We partner with financial advisors nationwide, empowering them to grow, optimize time and resources, and deliver superior outcomes for their clients. We're looking for exceptional talent to help us achieve our mission of making financial advice better, more affordable, and accessible to all. If you're passionate about challenging the status quo and want to do the most important work of your life, we'd love to meet you! But first, our values Kindness - Kindness doesn’t just equal niceness. We listen to understand. We embrace, and encourage healthy debate and diverse perspectives. We approach conflict openly, honestly, and respectfully. Brilliance - Humility is the skill we’re most proud of and possessing a growth mindset is always top of mind. We take ownership in everything we touch; regularly using our unique superpowers to reach a common goal as a team. We succeed and fail as one. Grit - When challenges arise, we stay laser focused on achieving our mission and finding a way forward, even when it’s hard. We are nimble and maintain a sense of urgency, swiftly adapting to change and overcoming obstacles. The opportunity Altruist is looking for a Compliance Director to serve as our clearing operations expert and own the surveillance and monitoring functions that sit at the heart of our broker-dealer obligations. This is a build role – you'll be the dedicated clearing compliance resource on the team, and you'll have real ownership over how these functions mature as the business scales. Your impact Serve as the firm's primary compliance SME for all clearing-related matters, including products, services, and regulatory obligations Act as the primary compliance point of contact for clearing operations, coordinating with internal and external stakeholders on day-to-day compliance matters Test and monitor clearing controls and own the development and maintenance of related Written Supervisory Procedures (WSPs) Represent Altruist as the clearing operations SME in regulatory exams, audits, and inquiries, coordinating responses with operations and technical stakeholders Own trade surveillance and monitoring for all trading activity on the platform, identifying patterns, escalating exceptions, and driving enhancements to the program Oversee the firm's e-comms surveillance program, including lexicon management, exception review, and automation — with a focus on building a more scalable, efficient process over time Lead the Altruist’s Insider Trading Policy and all related workstreams, including employee trade reviews, restriction setting, and remediating exceptions Steward Altruist's customer complaint regulatory lifecycle, including oversight of intake, response support, and quarterly FINRA filings Partner on new product initiatives providing compliance guidance, establishing guardrails, and making risk determinations in consultation with Compliance leadership Support broader compliance functions and ad-hoc initiatives as the business scales What you bring Experience - 8+ years of hands-on compliance experience at a FINRA-member broker-dealer, with deep knowledge of clearing operations (required) 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 - B.A. / B.S. degree in relevant fields Securities licenses - Active Series 7 and Series 24 licenses required; Series 4 required within 90 days 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 ... (truncated, view full listing at source)