Broker Dealer 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.

The opportunity

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. We’re looking for a detail-oriented and proactive compliance professional to support key regulatory functions within Altruist’s broker-dealer. This role will focus on core compliance operations, including licensing and registration, complaint handling, surveillance, and regulatory affairs, while also assisting with marketing reviews and managing relationships with compliance vendors and technology providers. The ideal candidate is a flexible generalist with strong attention to detail who thrives in a fast-paced environment and enjoys collaborating across teams to solve problems and help ensure we meet our regulatory obligations.

Your impact

• Serve as a key point of contact for licensing and registration processes, including gathering required documentation, preparing and submitting filings via FINRA Firm Gateway, and managing related administrative workflows
• Assist in the development and delivery of compliance training programs for employees at all levels, including new hire onboarding and ongoing education
• Act as the primary point of contact for compliance vendors and technology platforms, supporting vendor oversight and issue resolution
• Assist with the review and tracking of customer complaints, including support for quarterly regulatory complaint filings
• Conduct routine communications and trade surveillance, helping to identify potential issues and escalate as needed
• Coordinate regulatory responses and support data gathering efforts for examinations, inquiries, and other regulatory matters
• Contribute to the review of marketing materials for compliance with applicable regulatory standards
• Support the broader compliance team as a generalist, taking on a variety of tasks with curiosity, ownership, and a collaborative mindset

What you bring

• Experience -  2–5 years in compliance, legal, risk, or operational functions, ideally within fintech
  • Working knowledge of FINRA and SEC rules and regulations
  • Familiarity with regulatory frameworks applicable to broker-dealers and/or RIAs
  • Excellent written and verbal communication skills, with experience drafting policies, procedures, or regulatory responses
  • Ability to manage multiple priorities in a fast-paced environment and collaborate across cross-functional teams
• Education - B.A. / B.S. degree is preferred
• Securities licenses - You studied hard and we’re excited to carry your Series 7 and 24 licenses
  • Securities licenses - The Series 7 license is required for this role. The Series 24 is not required; however, you must be willing to obtain it within three (3) months of hire. We proudly sponsor and support employees in obtaining the necessary licenses.
• Technical aptitude - You’re technologically savvy and can easily get up to speed on modern tech stacks
• Ownership - The