Senior Compliance Associate, Product
AltruistLos Angeles, California, United States • San Francisco, California, United States • Dallas, Texas, United States
Posted October 6, 2025
96000 - 141000 USD year
Full Time
About the Company
Altruist is a leading fintech platform for RIAs, offering intuitive software solutions for account opening, trading, reporting, billing, and over 22 integrations. We empower advisors to grow client-centric practices with responsive service, lower fees, and more time for advising. Since our launch in 2018, Altruist has become the third-largest custodian by advisors served, trusted by nearly 5,000 professionals to safeguard client assets.
Job Description
Altruist is seeking a Senior Compliance Associate to join their Compliance team in Los Angeles. This role focuses on ensuring products, communications, and operations comply with regulations, supporting broader regulatory initiatives, and acting as a subject matter expert on SEC and FINRA rules. The ideal candidate will be analytical, communication-oriented, and a strong advocate for regulatory compliance.
Requirements
- 5+ years of hands-on compliance experience at a broker-dealer, with an emphasis on product and/or marketing compliance
- Strong knowledge of FINRA and SEC rules
- BS/BA degree in a relevant field
- Series 7 and Series 24 Securities licenses
- Technological savvy
- Excellent communication and interpersonal skills
Benefits
- Hybrid work schedule
- Amenities-filled office spaces
- Competitive pay
- Equity
- Premium healthcare
- Dental
- Vision insurance
- 401k savings plan
- Generous paid parental leave
- Professional development opportunities
- Wellness programs
- Company perks program
- Financial guidance program