Compliance Director

Altruist

San Francisco, CA, United States
Base: $164,000 - $226,000 usd; bonus/equity: compe...
On-site
10+ years compliance experience
Series 7 and series 24 licenses
Finra rule 2210 expertise
Altruist is building an AI platform to transform the wealth management industry by empowering financial advisors

Job Summary

  • Altruist is building an AI platform to transform the wealth management industry by empowering financial advisors.
  • The Compliance Director will own marketing compliance, employee licensing, and third-party RIA regulatory requests while leading a team of two associates.
  • This hybrid role requires three days per week in the San Francisco office and offers competitive pay, equity, and comprehensive benefits.

Matching Summary

Altruist is building an AI platform to transform the wealth management industry by empowering financial advisors.

Salary

Base: $164,000 - $226,000 USD; Bonus/Equity: Competitive equity for eligible positions; Benefits: Premium healthcare, dental, vision, 401k match, parental leave

Skills & Requirements

Must-have

  • 10+ years compliance experience
  • Series 7 and Series 24 licenses
  • FINRA Rule 2210 expertise
  • SEC Marketing Rule knowledge
  • Investment Advisers Act familiarity
  • Team leadership and development
  • Regulator exam management

Nice-to-have

  • Fintech or high-growth environment
  • Written Supervisory Procedures authoring
  • Insider trading program administration
  • Strategic multi-quarter planning
  • Executive board briefing experience
  • Technical aptitude with engineering teams

Key Requirements

  • Bachelor's degree required
  • Series 7 and Series 24 licenses mandatory
  • Series 4 preferred within 90 days
  • 3+ years leading compliance teams
  • US work authorization not specified

Work Rights

Not specified

Tailored Resume

Cover Letter