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Full-Time

Junior Compliance Analyst

Confirmed live in the last 24 hours

Altruist

Altruist

501-1,000 employees

All-in-one investment platform for advisors

Fintech

Compensation Overview

$62k - $90kAnnually

+ Stock Options

Junior

Los Angeles, CA, USA

Category
Risk & Compliance
Legal & Compliance
Required Skills
Communications
Requirements
  • Bachelor's degree in Business, Finance, Law, or a related field
  • At least 2 years of brokerage experience
  • Understanding of basic FINRA rules and regulations, registration process, and complaint process
  • Series 7 certification
  • Series 24 certification is a plus
  • Excellent communication, collaborative, and interpersonal skills
  • Ability to adapt to a dynamic regulatory environment
Responsibilities
  • Assist in the development and implementation of compliance policies and procedures
  • Employee registration and termination fillings
  • Complaint monitoring
  • Maintenance of processes to comply with FINRA Rule 3130
  • Development of compliance training programs
  • Prepare and submit required reports to regulatory bodies
  • Maintain documentation of compliance activities

Altruist provides a comprehensive investment platform tailored for financial advisors, integrating tools for account management, trading, and client reporting. This company streamlines financial operations with advanced features like commission-free fractional share trading and automated rebalancers, reducing inefficiencies and enhancing client services. The focus on high-touch support and continuous improvement in financial technologies makes it an appealing environment for professionals looking to advance in the fintech industry.

Company Stage

Series E

Total Funding

$449.5M

Headquarters

Culver City, California

Founded

2018

Growth & Insights
Headcount

6 month growth

9%

1 year growth

28%

2 year growth

69%