Lead, Operational Risk - Oversight & Controls

Описание вакансии

About Altruist

Altruist is transforming the multi-trillion dollar wealth management industry by building an AI platform for wealth professionals. We partner with financial advisors nationwide, empowering them to grow, optimize time and resources, and deliver superior outcomes for their clients.

We're looking for exceptional talent to help us achieve our mission of making financial advice better, more affordable, and accessible to all. If you're passionate about challenging the status quo and want to do the most important work of your life, we'd love to meet you!

But first, our values

Kindness - Kindness doesn’t just equal niceness. We listen to understand. We embrace, and encourage healthy debate and diverse perspectives. We approach conflict openly, honestly, and respectfully.

Brilliance - Humility is the skill we’re most proud of and possessing a growth mindset is always top of mind. We take ownership in everything we touch; regularly using our unique superpowers to reach a common goal as a team. We succeed and fail as one.

Grit - When challenges arise, we stay laser focused on achieving our mission and finding a way forward, even when it’s hard. We are nimble and maintain a sense of urgency, swiftly adapting to change and overcoming obstacles.

The opportunity

Altruist is in a significant growth phase and is hiring a Lead, Operational Risk – Oversight & Controls to strengthen the firm’s second-line oversight framework.

This role provides licensed supervisory depth within the Operational Risk Oversight & Controls (OROC) function. You will partner closely with the Associate Director, Operational Risk, to oversee clearing, custody, client communications, regulatory reporting, and vendor-dependent workflows. As a Series 24 principal, you will execute and document formal supervisory reviews, validate control effectiveness, and ensure the firm meets its regulatory, client-asset protection, and reporting obligations.

This is a hands-on supervisory role requiring strong principal judgment, documentation discipline, and independent challenge. You will serve as a key escalation point and maintain audit-ready supervisory evidence supporting BDO audits and regulatory examinations.

Your impact

• Lead and document formal supervisory reviews across clearing, custody, regulatory reporting, and vendor workflows
• Execute principal-level oversight of statements, confirms, tax reporting, corporate actions, transfers, DRIP, and cash management processes
• Support independent oversight of CAT, CAIS, Large Trader Reporting, and related suspense and exception governance
• Translate cross-functional system, product, and vendor changes into sustainable supervisory controls and documented review standards
• Enhance and execute daily and periodic supervisory checklists and reconciliations across clearing and custody operations
• Monitor, escalate, and coordinate remediation of reporting, disclosure, and vendor control issues
• Partner with Product, Engineering, Operations, and Compliance to ensure structural regulatory data integrity
• Maintain defensible documentation and supervisory review trails to support BDO audits and regulatory examinations

What you bring

• Experience

+ 5+ years in broker-dealer supervision, operational risk, clearing, custody, or regulatory reporting environments

+ Demonstrated experience performing licensed supervisory reviews with strong evidence standards

+ Strong working knowledge of clearing and custody workflows including audits, statements, trade confirms, tax forms, ACATs, corporate actions, DRIP, cash management, and regulatory reporting frameworks

• Securities Licenses - Active FINRA Series 7 and Series 24 required (or ability to obtain within 90 days).
• Technical aptitude

+ Strong proficiency in Google Sheets and Excel

+ Comfort working in systems such as JIRA, Slack, FIS, Mediant, BetaNXT/Maxit, Sovos, Sterling Risk, FINRA CAT, Retool, Tableau, SS&C, proxy and voting platforms, or similar

• Ownership - The pride you put into every aspect of your work is unparalleled and undeniable
• Superb communication - You engage in intentional dialogue, listen actively, and share perspectives thoughtfully, with the ability to influence and build trust across compliance, operations, product, and engineering teams.
• Resilience - We’re inspired by your unwavering determination to achieve success, no matter the adversity you face along the way.
• Assurance - Your confidence is brilliant, yet ego-less. You possess a strong knowledge base, the ability to discover the unknown, and are open to differing perspectives
• Creative problem solving - Identifying the problem is simply not enough. You’re instinctually creative with your approach in finding solutions to roadblocks

Dallas, TX salary range

$90,000—$130,000 USD

What we bring

Attracting and retaining top-tier talent is a priority. We are proud of the culture we’ve built and are cognizant of the ever-changing professional landscape. Our dynamic offering of perks and benefits are tailored for you to feel your best while doing your best.

• A hybrid work schedule for most positions to promote strong, in-person collaboration.
• Stunning, amenity-filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX. Our offices are intentionally designed for comfort, collaboration, and productivity.
• Competitive pay and equity for eligible positions.
• Premium healthcare, dental, and vision insurance plans (HMO and PPO).
• 401k savings plan with a 4% match and immediate vesting.
• 16 week paid parental leave.
• Professional growth and development opportunities including an employee mobility program and an annual L&D budget allocation for each employee.
• Company perks program (includes discounts on pet insurance, fitness, cell phone plans, and travel, etc.).
• Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home-purchasing preparedness, etc.).
• One month work from anywhere policy (with the exception of a few countries).

Total compensation includes a competitive benefits package, along with equity in the form of Stock Options (ISOs) for eligible roles. For salaried positions, 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.