Compliance Manager

| Greater LA Area
Altruist is an LA fintech company on a mission to make financial advice better for everyone. We’re looking to hire an entrepreneurial Compliance Manager. If you're passionate about building meaningful products that people love to use, then you’ll love what we’re up to.
Our team is solving a huge problem that requires big-picture thinkers who are motivated to make a real difference through their work.
What you’ll do
  • Manage the regular, annual and ad-hoc testing and monitoring of policies and procedures of Altruist’s multiple regulated entities, including its Broker Dealer and Registered Investment Adviser 
  • Manage the annual 206(4)-7 review process and annual supervisory controls report process
  • Lead the compliance marketing review to ensure compliance with FINRA and SEC advertising requirements 
  • Provide business partners with actionable guidance and advice to ensure new products, services and features are launched in compliance with Altruist’s standards, federal and state laws
  • Manage the compliance training program for registered and non-registered team members
  • Manage the enterprise-wide risk program, including third party vendor risk reviews and due diligence
What you’ll need 
  • 5+ years of hands-on compliance experience at a broker dealer and registered investment advisor 
  • Strong working knowledge of FINRA and SEC rules 
  • An entrepreneurial attitude and a deep empathy for our customers
  • Expertise with financial products
  • Knowledge of trading processes and applicable regulations is strongly preferred 
  • Demonstrated ability to apply technology to enhance business processes 
  • Strong written and interpersonal communication skills and the ability to interact persuasively with marketing, customer success, operations, product, design, and engineering teams
  • An affinity for a fast-paced, early-stage environment
  • A bachelor’s degree or equivalent experience 
  • Completion of FINRA Series 7 and Series 24 or the ability to complete these examinations in your first 60 days
What you’ll get
 
At Altruist you’ll work with a talented group of hungry creators looking to disrupt our industry. You’ll be given the freedom to do your best work alongside down-to-earth developers, designers, and thinkers who are at the leading edge of their craft. 
We offer top-of-the-line health benefits, 401(k) with employer match, a competitive salary, and a flexible schedule including unlimited vacation time. You’ll join at the ground floor and have the opportunity to make your mark and have a real say in how we build products. Our office is located in the heart of Venice on Abbot Kinney Blvd.
You’ll join a proven founding team that is backed by one of the most storied VCs in the US, Venrock. Together, we’re going to fix the broken parts of finance and investing (most of it).

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Technology we use

  • Engineering
  • Product
  • Sales & Marketing
    • JavaLanguages
    • JavascriptLanguages
    • PythonLanguages
    • ScalaLanguages
    • SwiftLanguages
    • ReactLibraries
    • ReduxLibraries
    • AngularJSFrameworks
    • Node.jsFrameworks
    • SpringFrameworks
    • MongoDBDatabases
    • PostgreSQLDatabases
    • Google AnalyticsAnalytics
    • SketchDesign
    • FigmaDesign
    • ConfluenceManagement
    • JIRAManagement
    • TrelloManagement
    • HubSpotCRM
    • MailChimpEmail
    • SendGridEmail

Location

Per GQ & Forbes magazine, "The coolest street/block in America." Abbot Kinney Blvd. The beach is also just a 15-minute walk away.

An Insider's view of Altruist

What’s the vibe like in the office?

Our office is relaxed and welcoming. We check our egos at the door and focus on producing great work together. Collaboration is paramount. While we're flexible, down-to-earth, and provide plenty of autonomy—we're also extremely motivated and hard-working. Altruist has a huge opportunity to make a big impact and we're dedicated to making it happen.

John

Head of Design

What's something quirky about your company?

Let’s just say that I don’t dread Mondays anymore. People genuinely want to be here! Coming to work is like coming to hang out with great friends, and together we are building something that will help a lot of people. The days tend to fly by, and in the heart of Venice, there is never a dull moment!

Shabana

Marketing Manager

What are Altruist Perks + Benefits

Altruist Benefits Overview

Office on Abbot Kinney, 401k with 4% company match, stock options, unlimited PTO, free snacks/beverages, dog friendly office, flexible schedule, community volunteering, monthly lunch & learns, fun work environment.

Culture
Volunteer in local community
Altruist loves to volunteer in our communities. We have participated in beach clean-ups and looking to get involved with local charities, animal shelters and helping the homeless.
Friends outside of work
Eat lunch together
Open door policy
Team based strategic planning
Group brainstorming sessions
Pair programming
Open office floor plan
Health Insurance & Wellness Benefits
Dental Benefits
Retirement & Stock Options Benefits
401(K) Matching
Altruist provides employees with a 401(k) matching plan managed by Guideline. We match 4% of contributions up to 100% of an employee's annual gross pay.
Company Equity
Altruist offers stock options with a 4 year vesting schedule.
Child Care & Parental Leave Benefits
Flexible Work Schedule
Altruist provides employees with a flexible work schedule that includes Flexible start and end times.
Vacation & Time Off Benefits
Unlimited Vacation Policy
Paid Holidays
Perks & Discounts
Casual Dress
Commuter Benefits
Altruist offers commuter benefits for transit and parking. Altruist will deposit $100 each month towards your commuter benefits.
Stocked Kitchen
You want it, we probably have it. :)
Happy Hours
Happy hours are hosted every Thursday.
Parking
We offer employees flexible commuter benefits up to $100/mo, to be used however best for each team member.
Pet Friendly
Altruist pet policy is dog friendly daily.
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