Altruist · 12 hours ago
Senior Compliance Manager
Dallas, TX
Full-time
Hybrid
Senior Level
7+ years expAltruist is transforming the wealth management industry by building an AI platform for financial professionals. They are seeking a Senior Compliance Manager to provide expert guidance on compliance matters, ensuring that clearing operations and products remain compliant as the business scales.
Asset ManagementFinancial ServicesFinTech
Responsibilities
Support regulatory compliance for Altruist’s FINRA-member broker-dealer and SEC-registered investment adviser
Serve as the subject matter expert for all clearing-related compliance matters
Conduct trade surveillance and monitoring for trading on the platform
Own the firm’s Insider Trading Policy and related workstreams, including surveillance of employee trading activity, setting restrictions, and remediating exceptions
Support regulatory affairs by coordinating responses with operations and technical stakeholders and serving as a clearing operations SME in regulatory interactions
Lead the customer complaint lifecycle, including intake, response support, and quarterly regulatory filings
Partner cross-functionally on new product initiatives related to clearing operations, establishing compliance guardrails, resolving conflicts, and making risk determinations in consultation with Compliance leadership
Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules
Provide support across core compliance functions, including employee compliance, surveillance, vendor oversight, and ad-hoc initiatives aligned with business needs
Assist with the development, implementation, and monitoring of compliance policies and procedures, and support regulatory exams and inquiries
Identify and escalate emerging compliance risks and recommend enhancements to policies, systems, controls, and training
Qualification
Required
7+ years of hands-on compliance experience at a FINRA-member broker-dealer, with deep knowledge of clearing operations
Active Series 7 and Series 24 licenses required; Series 4 required within 90 days
B.A. / B.S. degree in relevant fields
Strong knowledge of FINRA and SEC rules, with demonstrated ability to apply them pragmatically in a business setting
You're technologically savvy and can easily get up to speed on modern tech stacks
The pride you put into every aspect of your work is unparalleled and undeniable
You engage in intentional dialogue, listen actively, and share perspectives thoughtfully, with the ability to influence and build trust across compliance, operations, product, and engineering teams
We're inspired by your unwavering determination to achieve success, no matter the adversity you face along the way
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
Identifying the problem is simply not enough. You're instinctually creative with your approach in finding solutions to roadblocks
Preferred
Experience in a fintech environment strongly preferred
Experience supporting regulatory exams, audits, or inquiries with FINRA and/or the SEC
Familiarity with employee compliance and customer complaint handling and reporting obligations
Benefits
A hybrid work schedule for most positions to promote strong, in-person collaboration.
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 and equity for eligible positions.
Premium healthcare, dental, and vision insurance plans (HMO and PPO).
401k savings plan with a 4% match and immediate vesting.
16 week paid parental leave.
Professional growth and development opportunities including an employee mobility program and an annual L&D budget allocation for each employee.
Company perks program (includes discounts on pet insurance, fitness, cell phone plans, and travel, etc.).
Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home-purchasing preparedness, etc.).
One month work from anywhere policy (with the exception of a few countries).
Total compensation includes a competitive benefits package, along with equity in the form of Stock Options (ISOs) for eligible roles.
Company
Altruist
Altruist is a modern custodian that offers a digital investment platform for financial advisors to manage their clients' investments.
51-200 employees
Funding
Current Stage
Late StageTotal Funding
$601.5MKey Investors
GICICONIQ GrowthInsight Partners
2025-04-22Series F· $152M
2024-05-02Series E· $169M
2023-04-10Series D· $112M
Leadership Team
Jason Wenk
Founder / CEO
Marc Greenberg
Chief Financial Officer
Recent News
2026-01-11
thesaasnews.com
2025-12-22
Company data provided by crunchbase