Compliance Manager at Altruist
| Greater LA Area
Sorry, this job was removed at 3:14 p.m. (PST) on Monday, December 2, 2019
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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