Compliance Associate

About Altruist

Altruist is the modern custodian built exclusively for independent financial advisors that combines a self-clearing brokerage firm with intuitive software for account opening, trading, reporting, and billing — all in one streamlined solution. Financial advisors across the U.S. have partnered with Altruist to reduce costs, save time, grow their business, and provide better outcomes for their clients. Our mission is to make financial advice better, more affordable, and accessible to everyone — but we can’t do it alone. We’re seeking exceptional talent to join our team. That’s where you come in! 

If you’re passionate about challenging the status quo and making a meaningful impact in the financial advice industry, 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.

About the position

Altruist is in the midst of an exceptional growth phase and we’re excited to hire a Compliance Associate to join our growing compliance team. The successful candidate will play a pivotal role in ensuring that the organization adheres to regulatory requirements and implements effective compliance programs.  As a member of our compliance team, you will be responsible for overseeing internal reviews, monitoring activities, and promoting a culture of compliance within the organization

Your Impact

• Play a pivotal role in maturing our compliance program across our investment adviser and enterprise functions
• Assist in the buildout and ongoing enhancement of our risk management program, including risk identification, tracking, and reporting
• Support the development and implementation of the firm’s privacy and data compliance program, with a focus on GLBA, CCPA, and Reg S-P
• Help operationalize and monitor accessibility compliance (e.g., ADA/WCAG standards), collaborating with design, engineering, and product teams
• Work cross-functionally to support AI implementation efforts, ensuring responsible and compliant use of AI in alignment with evolving legal and ethical frameworks
• Contribute to the annual 206(4)-7 IA review, Form ADV updates, and ongoing RIA compliance obligations
• Maintain documentation and support reporting to internal governance bodies, including risk and AI oversight committees
• Act as a compliance generalist, contributing wherever needed with flexibility, curiosity, and ownership

What you bring

• Experience – 2–5 years in compliance, legal, privacy, risk, or operational functions, ideally within a regulated financial services or tech firm
• Working knowledge of Investment Advisers Act of 1940 and related rules (e.g., Form ADV, custody rule, Code of Ethics)
• Interest or experience in privacy laws (CCPA, GLBA, GDPR) and data governance
• Exposure to operational risk frameworks or issue management processes
• Technical aptitude – You’re comfortable navigating modern tech stacks and collaborating with engineering, design, and product teams
• Strong communicator – Able to translate complex regulatory requirements into plain English and action plans for business stakeholders
• Adaptability – Comfortable juggling multiple workstreams and pivoting between projects as priorities evolve
• Curiosity & initiative – Willing to dig deep into emerging areas like AI ethics, data transparency, and accessibility compliance
• Integrity – High standards for ethical conduct, independence, and discretion
• Bonus Points if you bring
• Experience with 206(4)-7 testing, Form ADV drafting, or regulatory filings for RIAs
• Exposure to accessibility frameworks (e.g., WCAG 2.1, ADA) and how they apply in digital product design
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