Compliance Officer

Skip to content Current openings at Altruist Compliance Officer – Dallas, TX About Altruist Altruist is transforming the wealth management industry by building an AI platform for wealth professionals. We partner with financial advisors nationwide to help them grow, save time and resources, and deliver better outcomes for clients. We are looking for talented individuals to help make financial advice better, more affordable, and accessible. If you are excited about challenging the status quo, we would love to meet you. The opportunity We are hiring a Compliance Officer to serve as the functional compliance lead for Altruist Advisors, Altruist's SEC-registered investment adviser. You will be the primary point of contact and subject-matter expert for the RIA, owning the IAR relationship end-to-end and helping build and scale the RIA’s compliance program from the ground up. You will collaborate with the Head of Compliance and Product as we launch and grow our corporate RIA offering. This is a senior individual-contributor role. You will own substantive compliance work across the RIA’s program with support, while exercising judgment and independence to shape the program. You will partner with teams across Product, Engineering, Operations, and Marketing. This is a hybrid role requiring three days per week in the office. Your impact Primary POC and SME — Lead compliance point of contact for Altruist Advisors, our SEC-registered investment adviser. IAR lifecycle — Manage the IAR relationship from onboarding to offboarding, including ongoing oversight. Program build-out — Assist in building and scaling the RIA’s compliance program with policies and procedures. Form ADV — Prepare, maintain, and timely file Form ADV (Parts 1, 2A, 2B), including amendments as changes occur. Product partnership — Provide compliance input to the Product team on the corporate RIA offering. Marketing review — Review and approve IAR marketing materials under the SEC Marketing Rule. Vendor management — Oversee vendor relationships supporting the RIA’s compliance program. Ongoing oversight — Monitor IAR activity, escalate issues, and drive remediation. Cross-entity support — Provide general compliance support to Altruist’s other regulated entities as needed. What you bring Experience — 5+ years of hands-on investment adviser compliance with the ability to execute across a program. Broker-dealer compliance experience is a plus. Speed and adaptability — Experience in a fintech or high-growth environment or a track record of moving quickly and operating with ambiguity. Regulatory expertise — Strong knowledge of the Investment Advisers Act and the SEC Marketing Rule; hands-on Form ADV filing experience; practical judgment to implement policies. FINRA familiarity is a plus. Cross-functional collaboration — Builds strong cross-functional relationships and drives outcomes with data and regulatory rationale. Ownership mindset — Comfortable owning a program end-to-end as a senior IC; collaborates with the Head of Compliance on strategy. Technical aptitude — Technologically savvy; collaborates credibly with Engineering and Product. Education — Bachelor’s degree in a relevant field. Securities licenses — Series 65/66, Series 7, and Series 24 preferred; willingness to obtain shortly after joining is welcome. Bonus points if you bring: Experience drafting and maintaining compliance policies for an RIA Experience onboarding, registering, and overseeing IARs at scale Experience managing compliance vendors and tooling Location and compensation Dallas, TX salary range: 119,000 – 164,000 USD What we bring We value attracting and retaining top talent and offer a culture that supports growth. Our benefits and perks are designed to support you. Office locations in Culver City, CA; San Francisco, CA; and Dallas, TX with spaces designed for comfort, collaboration, and productivity Competitive pay and equity for eligible positions Premium health, dental, and vision insurance 401(k) with a 4% match and immediate vesting 16 weeks of paid parental leave after one year Professional growth opportunities including an employee mobility program and annual L&D budget Company perks program with discounts on various services Financial guidance program to help with debt, spending, saving, and planning goals One month work-from-anywhere policy (some country restrictions apply) Total compensation includes a competitive benefits package and stock options (ISOs) for eligible roles. Salaries are determined by experience, location, and other factors; pay is reviewed regularly to ensure fairness and competitiveness. EEO statement Don’t meet every requirement? We encourage you to apply anyway. We are committed to building a diverse, inclusive, and authentic workplace. Apply for this job First Name * Last Name * Email * Phone Country * Phone * Resume/CV * Attach Accepted file types: pdf, doc, docx, txt, rtf Cover Letter Attach Accepted file types: pdf, doc, docx, txt, rtf #J-18808-Ljbffr