Compliance Director

Responsibilities

• Own the Marketing Compliance program, including review and approval of product communications under FINRA Rule 2210 and the SEC Marketing Rule
• Manage the Employee Compliance program covering licensing, registration, continuing education, and the Insider Trading program
• Oversee Third-Party RIA Regulatory Requests, managing responses regarding records, transactions, and holdings
• Partner with the Head of Compliance on Written Supervisory Procedures (WSPs) and product compliance reviews
• Lead, coach, and develop a team of compliance associates
• Serve as a lead point of contact for regulators and manage substantive enforcement and remediation work
• Identify and escalate emerging regulatory risks and implement policy enhancements
• Brief executives and contribute to board and audit/risk committee materials

Requirements

• 10+ years of hands-on compliance experience at a broker-dealer and/or investment adviser
• 3+ years of experience leading and developing teams
• Direct experience in marketing compliance, third-party RIA regulatory requests, or employee compliance
• Deep knowledge of FINRA and SEC rules (FINRA Rule 2210, SEC Marketing Rule, Investment Advisers Act)
• Proven track record as a lead point of contact with regulators
• Bachelor's degree in a relevant field
• Series 7 and Series 24 licenses required
• Series 4 preferred or required within 90 days of hire

Preferred Qualifications

• Investment adviser compliance experience
• Experience in a fintech or high-growth financial services environment
• Hands-on experience authoring and maintaining Written Supervisory Procedures (WSPs)
• Experience administering an insider trading program

About the Company

Altruist is transforming the multi-trillion dollar wealth management industry by building an AI platform for wealth professionals. We partner with financial advisors nationwide, empowering them to grow, optimize time and resources, and deliver superior outcomes for their clients.