Compliance Director

<div class="content-intro"><p><span style="text-decoration: underline;"><strong>About Altruist</strong></span></p> <p>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.</p> <p>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!</p> <p><span style="text-decoration: underline;"><strong>But first, our values</strong></span></p> <p style="padding-left: 40px;"><strong>Kindness</strong> - Kindness doesn’t <em>just</em> equal niceness. We listen to understand. We embrace, and encourage healthy debate and diverse perspectives. We approach conflict openly, honestly, and respectfully.<br><br><strong>Brilliance</strong> - 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.<br><br><strong>Grit</strong> - 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.</p></div><p><span style="text-decoration: underline;"><strong>The opportunity</strong></span></p> <p>We’re looking for a Compliance Director to join our Compliance team. This role serves as a key compliance leader for clearing operations. You’ll provide expert guidance across clearing products and services and support firm-wide regulatory initiatives, helping ensure Altruist continues to meet its regulatory obligations as the business scales.</p> <p><span style="text-decoration: underline;"><strong>Your impact</strong></span></p> <ul> <li>Act as a key leader over regulatory compliance for Altruist’s FINRA-member broker-dealer and SEC-registered investment advisers</li> <li>Serve as the subject matter expert for all clearing-related compliance matters</li> <li>Conduct trade surveillance and monitoring for trading on the platform</li> <li>Own the firm’s Insider Trading Policy and related workstreams, including surveillance of employee trading activity, setting restrictions, and remediating exceptions</li> <li>Support regulatory affairs by coordinating responses with operations and technical stakeholders and serving as a clearing operations SME in regulatory interactions</li> <li>Lead the customer complaint lifecycle, including intake, response support, and quarterly regulatory filings</li> <li>Partner cross-functionally on new product initiatives related to clearing operations, establishing compliance guardrails, resolving conflicts, and making risk determinations in consultation with Compliance leadership</li> <li>Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules</li> <li>Provide support across core compliance functions, including employee compliance, surveillance, vendor oversight, and ad-hoc initiatives aligned with business needs</li> <li>Assist with the development, implementation, and monitoring of compliance policies and procedures, and support regulatory exams and inquiries</li> <li>Identify and escalate emerging compliance risks and recommend enhancements to policies, systems, controls, and training</li> </ul> <p><span style="text-decoration: underline;"><strong>What you bring</strong></span></p> <ul> <li><strong>Experience</strong> - 8+ years of hands-on compliance experience at a FINRA-member broker-dealer, with deep knowledge of clearing operations (required) <ul> <li>Experience in a fintech environment strongly preferred</li> <li>Strong knowledg ... (truncated, view full listing at source)