Altruist

51-200 employees
17 jobs posted

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Compliance Officer

Added

9 days ago

Location

🇺🇸 San Francisco

Type

Full time

Salary

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Related skills

series 7 form adv regulatory compliance series 65/66 series 24

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📋 Description

Lead compliance for Altruist Advisors, our SEC-registered IAR.
Own IAR lifecycle from onboarding to offboarding.
Build and scale the RIA compliance program and policies.
Own Form ADV (Parts 1, 2A, 2B) filings and updates.
Partner with Product on compliance for the new corporate RIA.
Collaborate with Product, Engineering, Ops, and Marketing; vendor oversight.

🎯 Requirements

5+ years of hands-on investment adviser compliance.
Strong knowledge of Investment Advisers Act, SEC Marketing Rule; Form ADV filings.
Broker-dealer/FINRA experience; cross-entity support.
Cross-functional collaboration; data-driven decisions.
Ownership mindset; senior IC; partner with Product/Engineering.
Bachelor’s degree; securities licenses (65/66, 7, 24) preferred.

🎁 Benefits

Office spaces in Culver City, SF, and Dallas.
Competitive pay and equity.
Premium health, dental, and vision insurance.
401k with 4% match and vesting.
16 weeks parental leave after one year.
One month work-from-anywhere policy.

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