What are the responsibilities and job description for the Compliance Associate position at Altruist Corp?
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 — but we can’t do it alone. We’re seeking exceptional talent to join our team. That’s where you come in!
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!
But first, our values
Kindness - Kindness doesn’t just equal niceness. We listen to understand. We embrace, and encourage healthy debate and diverse perspectives. We approach conflict openly, honestly, and respectfully.
Brilliance - Humility is the skill we’re most proud of and possessing a growth mindset is always top of mind. We take ownership in everything we touch; regularly using our unique superpowers to reach a common goal as a team. We succeed and fail as one.
Grit - When challenges arise, we stay laser focused on achieving our mission and finding a way forward, even when it’s hard. We are nimble and maintain a sense of urgency, swiftly adapting to change and overcoming obstacles.
About the position
Altruist is in the midst of an exceptional growth phase and we’re excited to hire a Compliance Associate to join our growing compliance team. The successful candidate will play a pivotal role in ensuring that the organization adheres to regulatory requirements and implements effective compliance programs. As a member of our compliance team, you will be responsible for overseeing internal reviews, monitoring activities, and promoting a culture of compliance within the organization
Your Impact
- Play a pivotal role in maturing our compliance program across our investment adviser and enterprise functions
- Assist in the buildout and ongoing enhancement of our risk management program, including risk identification, tracking, and reporting
- Support the development and implementation of the firm’s privacy and data compliance program, with a focus on GLBA, CCPA, and Reg S-P
- Help operationalize and monitor accessibility compliance (e.g., ADA/WCAG standards), collaborating with design, engineering, and product teams
- Work cross-functionally to support AI implementation efforts, ensuring responsible and compliant use of AI in alignment with evolving legal and ethical frameworks
- Contribute to the annual 206(4)-7 IA review, Form ADV updates, and ongoing RIA compliance obligations
- Maintain documentation and support reporting to internal governance bodies, including risk and AI oversight committees
- Act as a compliance generalist, contributing wherever needed with flexibility, curiosity, and ownership
What you bring
- Experience – 2–5 years in compliance, legal, privacy, risk, or operational functions, ideally within a regulated financial services or tech firm
- Working knowledge of Investment Advisers Act of 1940 and related rules (e.g., Form ADV, custody rule, Code of Ethics)
- Interest or experience in privacy laws (CCPA, GLBA, GDPR) and data governance
- Exposure to operational risk frameworks or issue management processes
- Technical aptitude – You’re comfortable navigating modern tech stacks and collaborating with engineering, design, and product teams
- Strong communicator – Able to translate complex regulatory requirements into plain English and action plans for business stakeholders
- Adaptability – Comfortable juggling multiple workstreams and pivoting between projects as priorities evolve
- Curiosity & initiative – Willing to dig deep into emerging areas like AI ethics, data transparency, and accessibility compliance
- Integrity – High standards for ethical conduct, independence, and discretion
- Bonus Points if you bring
- Experience with 206(4)-7 testing, Form ADV drafting, or regulatory filings for RIAs
- Exposure to accessibility frameworks (e.g., WCAG 2.1, ADA) and how they apply in digital product design
- Working knowledge of GRC or privacy tools (e.g., Jira/Confluence)
What we bring
Attracting and retaining top-tier talent is a priority. We are proud of the culture we’ve built and are cognizant of the ever-changing professional landscape. Our dynamic offering of perks and benefits are tailored for you to feel your best while doing your best.
- A hybrid work schedule for most positions to promote strong, in-person collaboration and a healthy work-life-balance.
- Stunning, amenity-filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX. Our offices are intentionally designed for comfort, collaboration, and productivity.
- Competitive pay, as well as equity for eligible positions
- Premium healthcare, dental, and vision insurance plans
- 401k savings plan with matching contributions and immediate vesting
- Generous paid parental leave
- Professional growth and development opportunities including an employee mobility program and an annual L&D budget allocation for each employee
- Physical and emotional wellness programs that nurture both your mind and body
- Company perks program (includes discounts on pet insurance, fitness, cell phone plans, entertainment and travel, etc.)
- Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home-purchasing preparedness, etc.)
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. We review all employee pay and compensation programs regularly to ensure fair, equitable, and competitive pay. At Altruist, we are committed to providing fair, equitable, and competitive compensation by leveraging market data to inform our pay bands. Base salaries will be reviewed at regular intervals throughout the year, typically in conjunction with performance review cycles. By evaluating compensation on a regular basis, we are able to reward high performance and ensure all employees have opportunities for growth.
Don’t meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they meet every single qualification. At Altruist we are dedicated to building a diverse, inclusive, and authentic workplace, so if you’re excited about this role, but your past experience doesn’t align perfectly with every qualification in the job description, we encourage you to apply anyways. You may be just the right candidate for this or other roles.
Salary : $79,000 - $107,000
