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 entering an exciting phase, and we're looking for a Senior Compliance Associate to join our Compliance team. In this role, you’ll play a key part in shaping product and marketing compliance while also supporting broader regulatory initiatives. Your expertise will ensure our products, communications, and operations remain compliant while enabling innovation and growth.
Your impact
- Support regulatory compliance for Altruist’s FINRA-member broker-dealer and SEC-registered investment adviser
- Partner cross-functionally on new product initiatives, setting compliance guardrails, resolving conflicts, and making determinations in consultation with Compliance leadership
- Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules
- Review and approve product-specific communications, disclosures, and materials across web and app platforms
- Provide support across core compliance functions, including employee compliance, surveillance, vendor oversight, customer complaint handling, and ad-hoc initiatives based on broader business needs
- Act as an escalation point and provide support to colleagues and business partners on compliance-related matters
- Assist with the development and monitoring of compliance policies and procedures, and support regulatory exams and inquiries as needed Identify and escalate emerging compliance risks, recommending enhancements to policies, systems, and training
What you bring
- Experience - 5+ years of hands-on compliance experience at a broker-dealer, with an emphasis on product and/or marketing compliance
- Experience in a fintech environment strongly preferred
- Strong knowledge of FINRA and SEC rules, with demonstrated ability to apply them pragmatically in a business setting
- Education - Ideally looking for a B.A. / B.S. degree in relevant fields
- Securities licenses - The Series 7 and Series 24 licenses are required for this role
- Technical aptitude - You’re technologically savvy and can easily get up to speed on modern tech stacks
- Ownership - The pride you put into every aspect of your work is unparalleled and undeniable
- Superb communication - You engage in intentional dialogue, listen actively, and share perspectives thoughtfully, with the ability to influence and build trust across compliance, product, marketing, and engineering teams.
- Resilience - We’re inspired by your unwavering determination to achieve success, no matter the adversity you face along the way.
- Assurance - Your confidence is brilliant, yet ego-less. You possess a strong knowledge base, the ability to discover the unknown, and are open to differing perspectives.
- Creative problem solving - Identifying the problem is simply not enough. You’re instinctually creative with your approach in finding solutions to roadblocks.
- Bonus points if you bring
- Experience supporting regulatory exams, audits, or inquiries with FINRA and/or the SEC
- Familiarity with employee compliance and customer complaint handling and reporting obligations
What we bring
Attracting and retaining top-tier talent is a priority. We are proud of the culture we’ve built and are cognizant of the ever-changing professional landscape. Our dynamic offering of perks and benefits are tailored for you to feel your best while doing your best.
- A hybrid work schedule for most positions to promote strong, in-person collaboration and a healthy work-life-balance.
- Stunning, amenity-filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX. Our offices are intentionally designed for comfort, collaboration, and productivity.
- Competitive pay, as well as equity for eligible positions
- Premium healthcare, dental, and vision insurance plans
- 401k savings plan with matching contributions and immediate vesting
- Generous paid parental leave
- Professional growth and development opportunities including an employee mobility program and an annual L&D budget allocation for each employee
- Physical and emotional wellness programs that nurture both your mind and body
- Company perks program (includes discounts on pet insurance, fitness, cell phone plans, entertainment and travel, etc.)
- Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home-purchasing preparedness, etc.)
Total compensation includes a competitive benefits package along with equity in the form of Stock Options (ISOs) for eligible roles. For salaried positions, a salary offer will be determined by a number of factors including experience, skill level, internal pay equity, geographic location, and other relevant business considerations. We review all employee pay and compensation programs regularly to ensure fair, equitable, and competitive pay. At Altruist, we are committed to providing fair, equitable, and competitive compensation by leveraging market data to inform our pay bands. Base salaries will be reviewed at regular intervals throughout the year, typically in conjunction with performance review cycles. By evaluating compensation on a regular basis, we are able to reward high performance and ensure all employees have opportunities for growth.
Don’t meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they meet every single qualification. At Altruist we are dedicated to building a diverse, inclusive, and authentic workplace, so if you’re excited about this role, but your past experience doesn’t align perfectly with every qualification in the job description, we encourage you to apply anyways. You may be just the right candidate for this or other roles.
Top Skills
Altruist Culver City, California, USA Office
Our stunning and expansive headquarters is central to all of Los Angeles and just a short walk away from historic downtown Culver City's endless restaurants, shopping, and nightlife. As an added bonus, it's just a block from the Metro Expo Line for commuters!
Altruist Costa Mesa, California, USA Office
Our beautiful Costa Mesa office is nestled in a trendy neighborhood next to a dog-friendly brewery and just across the street from all of the coffee shops, restaurants, bars, and shops the LAB Anti-Mall has to offer.
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