Related skills
security compliance finra regulatory compliance series7📋 Description
- Lead regulatory compliance for Altruist's FINRA broker-dealer and SEC-registered adviser
- Partner cross-functionally on product initiatives; set compliance guardrails
- Be SME on product and marketing compliance under SEC and FINRA
- Review product communications, disclosures, and materials across web and app
- Support compliance operations: employee compliance, surveillance, vendor oversight
- Escalate issues and advise colleagues on compliance matters
- Help develop and monitor policies; assist regulatory exams and inquiries
- Identify emerging compliance risks and suggest policy/training improvements
🎯 Requirements
- 5+ years of broker-dealer compliance experience
- FINRA Series 7 and Series 24 required; Series 4 in 90 days
- BA/BS degree in a relevant field preferred
- Tech savvy; quick to learn modern stacks
- Strong ownership and accountability
- Excellent cross-functional communicator
- Resilient and adaptable; able to work under pressure
- Bonus: experience supporting FINRA/SEC exams and audits
🎁 Benefits
- Hybrid work schedule for strong collaboration
- Offices in Culver City, SF, and Dallas
- Competitive pay and equity
- Premium health, dental, and vision plans
- 401k with 4% match
- 16 weeks paid parental leave
- Growth and employee mobility program
- One month work from anywhere policy
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