Altruist is an LA fintech company on a mission to make financial advice better for everyone. We’re looking to hire an entrepreneurial Operations and 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

• Work with the Customer Success and Compliance teams to develop, implement and enforce an approach to supervision of the operations and registered functions of a group of registered representatives
• Serve as an internal expert and resource to various teams on account transfers and funding processes, including ACATS and ACH
• Conduct new account reviews and approvals, and assist with Anti-Money Laundering program, including review of transactions and FinCEN 314(a) reviews
• Investigate any trade issues that may arise in the course of business and document them and their remedies through written reports
• Work with the Customer Success and Compliance teams to identify areas to ensure adherence to trading guidelines and trade issue resolution
• Manage the compliance training program for registered and non-registered team members
• Perform branch office inspections, and various other reviews, and document these
• Review customer communications for potential reportable complaints
• Participate in 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
• Perform review of employee attestations, certifications, requests and transactions

• Participate in the annual 206(4)-7 review process and annual supervisory controls report process
• Contribute to examinations with regulatory bodies
• Lead the compliance marketing review to ensure compliance with FINRA and SEC advertising requirements
• Process registrations for registered representatives and non-registered employees
• Conduct regular communications review

What you’ll need

• 5+ years of hands-on operations and/or compliance experience at a Broker Dealer and Registered Investment Adviser
• Strong working knowledge of FINRA and SEC rules
• Entrepreneurial attitude and a deep empathy for our customers
• Expertise with financial products
• Knowledge of securities trading processes and applicable regulations is a must
• Demonstrated ability to apply technology to enhance business processes
• Strong written and interpersonal communication skills and ability to interact persuasively with marketing, customer success, operations, product, design and engineering teams
• Affinity for a fast-paced, early-stage environment
• Bachelor’s degree or equivalent experience
• FINRA Series 7, 66, 24, 4, 52, and 53 or must be able to complete these examinations in your first 180 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), 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 with significant venture. Together, we’re going to fix the broken parts of finance and investing (most of it).