Senior Compliance Director — Hybrid, Regulator & Program Lead

Altruist; Dallas (TX); Hybrid; USD 141,000 - 192,000; Full time

Benefits offered by this job

Competitive pay and equity

Premium healthcare, dental, and vision insurance

401k savings plan with a 4% match

Paid parental leave

Professional growth opportunities

Work from anywhere policy

Job summary

Altruist is seeking a Compliance Director to lead a key compliance program in Dallas, TX. This hybrid role requires oversight of marketing compliance, employee compliance, and regulatory requests, managing a small team and collaborating with senior executives. Ideal candidates will have robust compliance experience, particularly in investment advisory roles, and a strong grasp of FINRA and SEC regulations.

The position promises competitive salaries between $141,000 and $192,000, alongside a comprehensive benefits package and a hybrid working environment.

Qualifications

• 10+ years of hands-on compliance experience at a broker-dealer and/or investment adviser.
• 3+ years leading and developing teams.
• Experience owning multiple compliance programs at scale.

Responsibilities

• Own the end-to-end compliance program covering Marketing, Employee, and RIA Regulatory requests.
• Lead and coach a team of compliance associates.
• Set multi-quarter strategy and roadmap for the compliance pillar.

Skills

Compliance program management

Regulatory knowledge (FINRA, SEC)

Team leadership

Communication skills

Education

Bachelor's degree (B.A. or B.S.)

Job description

Altruist is seeking a Compliance Director to lead a key compliance program in Dallas, TX. This hybrid role requires oversight of marketing compliance, employee compliance, and regulatory requests, managing a small team and collaborating with senior executives. Ideal candidates will have robust compliance experience, particularly in investment advisory roles, and a strong grasp of FINRA and SEC regulations.

The position promises competitive salaries between $141,000 and $192,000, alongside a comprehensive benefits package and a hybrid working environment.