Overview

Altruist is a hyper-growth fintech company on a mission to make financial advice better, more accessible, and affordable. Our team is building a revolutionary platform that reduces barriers to entry into wealth creation and management for financial advisors and their clients. Using Altruist, advisors can work more efficiently and reduce costs, enabling them to help more people.

If you’re passionate about your craft and are looking for big, meaningful problems to solve, then you’ll love what we’re doing. At Altruist, you’ll have the opportunity to do exciting work on products ranging from complex enterprise business software to a beautiful consumer app experience and user acquisition platform.

Altruist is entering an exciting phase, and we’re looking for a Compliance Associate to join our Compliance team!

What You’ll Do

  • Be an integral part of a larger compliance team responsible for regulatory compliance of our FINRA-member broker-dealer and SEC-registered investment adviser
  • Conduct regular internal and external communications review of emails, instant messages, and social media
  • Review customer communications for potential reportable complaints
  • Assist with vendor due diligence program, conduct ongoing monitoring of vendors
  • Assisting with the employee compliance program, including the use of compliance software
  • Assist with onboarding of new employees, including conducting online searches, running reports, ensuring fingerprinting, continuing education, licensing and access levels are complete and appropriate
  • 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, to the extent necessary
  • Contribute to examinations with regulatory agencies as requested
  • Assist in various other compliance needs and tasks as necessary

What You’ll Bring

  • 3+ years of hands-on compliance experience at a FINRA-member broker-dealer and/or registered investment adviser
  • Strong knowledge of FINRA and SEC rules and regulations
  • Entrepreneurial attitude and a deep empathy for our customers
  • Demonstrated ability to apply technology to enhance business processes
  • Strong written and interpersonal communication skills and ability to interact persuasively with other departments
  • Affinity for a fast-paced, early-stage environment
  • Bachelor’s degree or equivalent experience
  • FINRA Series 7 and either Series 63 or Series 66 licenses (required)

What You’ll Get

At Altruist, you’ll partner with a talented group of creators working relentlessly to disrupt an antiquated system primed for radical change. You’ll have the freedom to do your best work alongside down-to-earth professionals at the forefront  of their disciplines and the opportunity to make a real impact through your contributions. As an early team member at a  game-changing, growing company, you’ll have a significant influence on how we deliver on our mission.

Altruist believes the best work comes from a happy team who’s continually encouraged to grow and develop their expertise.

We take pride in our culture, built on a foundation of mutual respect and transparency, and rooted in our three core values:

Kindness: The equal and kind treatment of all is of foremost importance to us, and we continually strive to bring diversity in thought and background to our team to strengthen our company.

Brilliance: Constantly striving to better your craft and broaden your boundaries through consistent learning and growth.

Grit: Our team is driven, has a bias towards action, and an insatiable appetite for getting things done to bring us closer to realizing our mission.