Compliance Officer

The opportunity

We're hiring a Compliance Officer to serve as the functional compliance lead for Altruist Advisors, Altruist's new SEC-registered investment adviser. You'll be the primary point of contact and subject-matter expert for the RIA, owning the Investment Adviser Representative (IAR) relationship end-to-end and helping build and scale the RIA's compliance program from the ground up. You'll partner directly with the Head of Compliance and with Product as we launch and grow our new corporate RIA offering.

This is a senior individual-contributor role. You'll own substantive compliance work across the RIA's program — with support — while operating with the judgment and independence to shape how the program is built. You'll also serve as a trusted partner to teams across Product, Engineering, Operations, and Marketing.

*This is a hybrid role requiring three days per week in the office.

Your impact

• Primary POC and SME — Act as the lead compliance point of contact and subject-matter expert for Altruist Advisors, our new SEC-registered investment adviser.
• IAR lifecycle — Own the IAR relationship from a compliance perspective, from onboarding through offboarding, including oversight of ongoing IAR activity.
• Program build-out — Assist in the build-out and scaling of the RIA's compliance program, including the development and management of policies and procedures.
• Form ADV — Own the preparation, maintenance, and timely filing of Form ADV (Parts 1, 2A, and 2B), including annual updating amendments and other-than-annual amendments as material changes arise.
• Product partnership — Partner closely with Altruist's Product team to provide compliance input and guidance on the new corporate RIA offering.
• Marketing review — Review and approve IAR marketing materials and communications under the SEC Marketing Rule.
• Vendor management — Own vendor relationships supporting the RIA's compliance program.
• Ongoing oversight — Conduct ongoing oversight and monitoring of IAR activity, escalating issues and driving remediation.
• Cross-entity support — Provide general compliance support to Altruist's other regulated entities, including the broker-dealer, as required.

What you bring

• Experience — 5+ years of hands-on investment adviser compliance experience, with demonstrated ability to execute across the full range of a compliance program. Broker-dealer compliance experience preferred.
• Speed and adaptability — Prior experience in a fintech or high-growth financial services environment, or a comparable track record that demonstrates the ability to move quickly and operate with ambiguity as programs are built.
• Regulatory expertise — Strong working knowledge of the Investment Advisers Act and the SEC Marketing Rule, with hands-on experience preparing and filing Form ADV, and the practical judgment to apply regulations in a solutions-oriented way and help stand up policies and controls. Familiarity with FINRA rules a plus given cross-entity support.
• Cross-functional collaboration — Fosters and builds strong cross-functional relationships; drives outcomes across Compliance, Legal, Operations, Product, and Engineering and persuades with data and regulatory rationale rather than authority.
• Ownership mindset — Comfortable owning a program end-to-end as a senior IC, setting the quality bar for substantive work while partnering with the Head of Compliance on strategy and direction.
• Technical aptitude — Technologically savvy; gets up to speed quickly on modern tech stacks and partners credibly with Engineering and Product.
• Education — Bachelor's degree (B.A. or B.S.) in a relevant field.
• Securities licenses — Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly after joining also welcome.

Bonus points if you bring:

• Hands-on experience authoring and maintaining compliance policies and procedures for an RIA
• Experience with IAR onboarding, registration, and ongoing oversight at scale
• Experience managing compliance vendors and related tooling