Senior Compliance Officer, Clearing & Surveillance

The Opportunity Altruist is looking for a Sr. Compliance Officer to serve as our hands‑on clearing operations SME and own trade surveillance and monitoring across the platform. You will be the dedicated clearing compliance resource, setting the standard for how we monitor trading activity, partnering closely with Operations on the Written Supervisory Procedures (WSPs) and controls that govern clearing and broader brokerage operations, and stewarding our customer complaint program. This is a hybrid role requiring three days per week in the office. Your Impact Serve as the firm’s hands‑on compliance SME for clearing operations — products, services, processes, and the regulatory obligations that govern them Act as the primary compliance point of contact for clearing operations, coordinating day‑to‑day with internal and external stakeholders Own trade surveillance and monitoring for all trading activity on the platform — set the program standard, identify patterns, elevate exceptions, and drive enhancements toward a more scalable, automated review process Own the development, maintenance, and periodic review of clearing‑related WSPs; coordinate closely with Operations to keep procedures aligned to how the work is actually performed Test and monitor clearing controls; partner with Operations to remediate gaps and document evidence to a regulator‑ready standard Steward Altruist’s customer complaint regulatory lifecycle, including oversight of intake, response support, and quarterly FINRA filings Represent Altruist as the clearing operations and surveillance SME in regulatory exams, audits, and inquiries; coordinate substantive responses with Operations and technical stakeholders Support broader compliance functions and ad‑hoc initiatives as the business scales What You Bring Experience 7+ years of hands‑on compliance experience at a FINRA‑member broker‑dealer, with deep, hands‑on knowledge of clearing operations (required) Direct, hands‑on experience designing, running, or materially enhancing a trade surveillance and monitoring program (required) Demonstrated experience drafting and maintaining WSPs, and partnering with Operations to operationalize them Familiarity with customer complaint handling and reporting obligations, including FINRA quarterly filings Strong knowledge of FINRA and SEC rules, with demonstrated ability to apply them pragmatically in a business setting Experience in a fintech environment strongly preferred Education B.A. / B.S. degree in relevant fields Securities Licenses Active Series 7 and Series 24 licenses required; additional licensing may be required based on role and business needs Skills & Attributes Technical aptitude: technologically savvy, able to quickly learn modern tech stacks; comfortable working with surveillance tooling and partnering with Engineering on automation Ownership: takes pride in all aspects of their work Superb communication: engages in intentional dialogue, listens actively, shares perspectives thoughtfully, and influences/builds trust across teams Resilience: demonstrates unwavering determination to achieve success despite adversity Assurance: confident, ego‑less, possesses strong knowledge, discovers the unknown, and is open to differing perspectives Creative problem‑solving: instinctually creative in finding solutions to roadblocks Bonus Points Experience supporting regulatory exams, audits, or inquiries with FINRA and/or the SEC Experience evaluating, implementing, or tuning surveillance tooling (commercial or in‑house) Salary Dallas, TX salary range: $119,000 – $164,000 USD. Benefits Hybrid work schedule to promote strong, in‑person collaboration Comfort‑designed office spaces in Dallas, TX (office locations for collaboration) Competitive pay and equity for eligible positions Premium healthcare, dental, and vision insurance plans (HMO and PPO) 401(k) savings plan with a 4% match and immediate vesting 16‑week paid parental leave after one year of employment Professional growth and development opportunities with an annual L&D budget allocation for each employee Company perks program (discounts on pet insurance, fitness, cell phone plans, travel, etc.) Financial guidance program (counseling on debt, personal spend, savings, planning goals, home‑purchasing preparedness) One‑month work‑from‑anywhere policy (with exceptions for a few countries) #J-18808-Ljbffr Altruist