About this role
Compliance Director at Altruist. Location: San Francisco or Dallas or Los Angeles. Role: Own marketing compliance, Own employee compliance, Handle third-party RIA requests Requirements: 10+ years in compliance; 3+ years leading teams; exposure to broker-dealer/RIAs; regulatory expertise in FINRA/SEC; strong leadership and communication skills. Category: Legal and Compliance Seniority: Senior Level Tools: Regulatory knowledge, Written Supervisory Procedures (WSPs), Regulatory filings, Compliance monitoring tools, Regulatory reporting, Finra rules, SEC rules, INSIDER TRADING PROGRAM Certifications: series 7, series 24, series 4 ( or required within 90 days) Commitment: Full Time Workplace: Hybrid Languages: English