Senior Compliance Analyst
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
Please note: This is an onsite position based out of our Dallas, TX facility with the option to work from home a few days a week.
Our team is solving a huge problem that requires big-picture thinkers who are motivated to make a real difference through their work!
What you’ll do
- Be an integral part of a compliance team responsible for regulatory compliance of our FINRA-member clearing Broker-Dealer.
- Assist in regulatory reporting submission, validation and correction.
- Collaborate with compliance and risk teams to identify data-driven review opportunities and develop data analysis plans to support review objectives.
- Extract, manipulate, and analyze data from various sources, including financial systems, databases, spreadsheets, and other relevant data repositories, using data analysis tools.
- Interpret and analyze data to identify patterns, trends, anomalies, and potential risks or issues that may impact the organization's financial and operational processes.
- Stay up-to-date with industry trends, best practices, and regulations related to data analysis, auditing, and various software.
- Collaborate with development teams and other relevant departments to obtain necessary access to data sources, understand data structures, and ensure data integrity and security.
- Assist in the development and maintenance of data analysis tools, templates, and documentation to enhance compliance review efficiency and effectiveness.
- Serve as a liaison to technical team members when defining requirements, monitoring progress, testing and release tracking. Assist team members in acquiring data as needed for reporting, regulatory inquiries, or supervisory control testing.
- Develop, improve and monitor automated data processes and end-to-end workflows.
- Assist in other compliance or risk objectives as necessary.
What you’ll need
- Strong proficiency in and experience using data analysis tools in an auditing or related environment.
- Strong analytical skills with the ability to interpret and analyze complex data sets to identify patterns, trends, and anomalie.
- Collaborative mindset with the ability to work effectively in cross-functional teams and interact with stakeholders at all levels of the organization.
- Strong ethics and integrity, with a commitment to maintaining confidentiality and professionalism in handling sensitive data and information.
- Proficiency in investigative, problem solving, analytical and creative thinking techniques.
- Strong analytical skills with the ability to interpret and analyze complex data sets to identify patterns, trends, and anomalies
- Excellent communication skills, both verbal and written, with the ability to effectively communicate complex technical concepts to non-technical stakeholders.
- Bachelor’s degree or equivalent experience
- FINRA Series 7, 63, and 24 licenses (mandatory within one year of employment)
- 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.
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