Senior Analyst, Operational Risk - Client Communications & 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 continuing to scale its Operational Risk Oversight & Controls (OROC) function and is hiring a Senior Analyst focused on client communications and document governance.

In this role, you will provide second-line oversight of client-facing operational workflows including statements, document delivery, branding governance, and communication handling. You will execute structured supervisory reviews, validate vendor outputs, monitor control effectiveness, and ensure communication-related processes meet regulatory, documentation, and audit standards. This role operates within the firm’s independent oversight framework and plays a direct role in regulatory defensibility and audit readiness.

Your impact

• Execute second-line supervisory reviews over statement production, document uploads, branding updates, and communication templates prior to release
• Perform daily and periodic reconciliations, including statement counts versus vendor consoles and document validation controls
• Monitor suspense and exception queues related to communications, account maintenance, and document delivery workflows
• Escalate identified control gaps, vendor issues, and documentation deficiencies with clear risk summaries and supporting evidence
• Provide independent oversight of address updates and delivery preference changes, validating regulatory documentation and system accuracy
• Monitor and track returned mail, undeliverable statements, and bounced communications, ensuring appropriate remediation and control documentation
• Serve as oversight partner to Operations, Product, Engineering, Compliance, and third-party vendors to strengthen communication-related control frameworks
• Maintain audit-ready documentation and supervisory review trails to support BDO audits and regulatory examinations
• Identify structural weaknesses in communication workflows and recommend control enhancements

What you bring

• Experience

+ 3-5 years in broker-dealer operations, clearing and custody environments, regulatory supervision support, or financial services risk and controls roles

+ Experience executing structured reviews, validating control outputs, and maintaining defensible documentation standards

+ Strong working knowledge of statements, confirms, tax forms, ACATs, corporate actions,

• Securities Licenses - Active FINRA Series 7 required, willingness to pursue the Series 24 within a defined time preferred
• Technical aptitude

+ Strong proficiency in Google Sheets and Excel

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

• 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

$79,000—$107,000 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.