Marketing Compliance Associate



Marketing & Communications, Legal
Los Angeles, CA, USA
Posted on Saturday, April 20, 2024

About Altruist

Altruist is a fast growing fintech company that's transforming the financial advice industry. Our mission is to make financial advice better, more affordable, and accessible to everyone. We’re a modern custodian built exclusively for registered investment advisors (RIAs). As we disrupt legacy custodians and revolutionize the $100T RIA market, we're seeking exceptional individuals to join our team. If you embody our core values of kindness, brilliance, and grit, and are passionate about making a meaningful impact, we want to hear from you!

About the position

Altruist is entering an exciting phase, and we're looking for a Marketing Compliance Associate to join our Compliance team.

What you’ll do

  • Be an integral part of a larger compliance team responsible for regulatory compliance of our FINRA-member broker-dealer and SEC-registered investment adviser
  • Be an in-house subject matter expert for our marketing review to ensure compliance with FINRA and SEC advertising requirements
  • Lead and own initiatives from a compliance standpoint pertaining to social media monitoring and advisor referrals
  • Provide regular, informal and formal guidance to the marketing team, including on testimonials (with respect to both SEC and FINRA rules)
  • Review and approve marketing and advertising materials for the marketing team on a daily basis
  • Have a keen, intuitive understanding of our several affiliates, and effectively categorize and provide pertinent reviews of marketing materials advertising their respective products
  • Participate in the regular, annual and ad-hoc testing and monitoring of policies and procedures of Altruist’s multiple regulated entities, including its broker-dealer and registered investment adviser, to the extent necessary
  • Contribute to examinations with regulatory agencies as requested
  • Assist in various other compliance needs and tasks as necessary

What you’ll bring

  • 2+ years of experience in advertising/marketing compliance at a FINRA-member broker-dealer and/or registered investment adviser
  • 2+ years of hands-on compliance experience at a broker-dealer
  • Strong knowledge of FINRA and SEC advertising/marketing rules
  • Entrepreneurial attitude and a deep empathy for our customers
  • Expertise with financial products
  • Demonstrated ability to apply technology to enhance business processes
  • Strong written and interpersonal communication skills and ability to interact persuasively with marketing, compliance, product, and engineering teams
  • Affinity for a fast-paced, early-stage environment
  • Bachelor’s degree or equivalent experience
  • FINRA Series 7 and 24 licenses
Los Angeles, CA salary range
$70,000$113,000 USD


  • Competitive salary and stock options
  • Premium Healthcare, Dental, and Vision insurance plans
  • Generous paid parental leave
  • 401(k) savings plan with matching contributions
  • Flexible paid time off

Total compensation includes a competitive benefits package along with equity in the form of Stock Options (ISOs). A salary offer will be determined by a number of factors including experience, skill level, internal pay equity, geographic location, and other relevant business considerations. We review all employee pay and compensation programs regularly to ensure fair, equitable, and competitive pay. At Altruist, we are committed to providing fair, equitable, and competitive compensation by leveraging market data to inform our pay bands. Base salaries will be reviewed at regular intervals throughout the year, typically in conjunction with performance review cycles. By evaluating compensation on a regular basis, we are able to reward high performance and ensure all employees have opportunities for growth.

Don’t meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they meet every single qualification. At Altruist we are dedicated to building a diverse, inclusive, and authentic workplace, so if you’re excited about this role, but your past experience doesn’t align perfectly with every qualification in the job description, we encourage you to apply anyways. You may be just the right candidate for this or other roles.