Senior Compliance Manager

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 We’re hiring a Senior Compliance Manager to help lead product and marketing compliance efforts, support employee compliance, and partner on broader regulatory initiatives, balancing strong compliance oversight with innovation and growth. Your impact Lead key elements of Altruist’s regulatory compliance programs for its FINRA-member broker-dealer and SEC-registered investment adviser Serve as a strategic compliance partner on new product initiatives, setting compliance guardrails, resolving issues, and making risk-based determinations in consultation with senior stakeholders Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules, advising business and marketing teams Oversee the review and approval of product-specific communications, disclosures, and materials across web and app platforms Lead the employee compliance program, including licensing and registration, continuing education, issue remediation, and new employee onboarding Support ad-hoc initiatives aligned with evolving business priorities Serve as an escalation point for complex compliance matters, providing guidance and mentorship to colleagues and business partners Drive the development, implementation, and ongoing monitoring of compliance policies and procedures Identify, assess, and escalate emerging compliance risks, recommending and implementing enhancements to policies, systems, controls, and training What you bring Experience: 7+ years of hands-on compliance experience at a broker-dealer and investment adviser, with an emphasis on product and/or marketing compliance Investment adviser compliance experience strongly preferred Prior experience in a fintech or high-growth financial services environment strongly preferred Regulatory expertise - Strong knowledge of FINRA and SEC rules, paired with sound judgment and the ability to apply regulations in a practical, solutions-oriented manner Education - Bachelor’s degree (B.A. or B.S.) in a relevant field Securities licenses - Series 7 and Series 24 required; Series 4 preferred or required within 90 days of hire 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 trust across compliance, operations, product, and engineering teams. Resilience - We’re inspired by your unwavering determination to achieve success, no matter the adversity you face along the way. Assurance - Your confidence is ... (truncated, view full listing at source)