Senior Compliance Associate, Product and Marketing Compliance

Overview

Senior Compliance Associate, Product at Altruist.

Location : San Francisco, CA. Salary range : $107,000—$153,000 USD.

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.

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!

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

What We Bring

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.

Don’t meet every single requirement? We encourage you to apply anyway. We are dedicated to building a diverse, inclusive, and authentic workplace.

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