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    Marketing Compliance Associate - Los Angeles, United States - Endeavor

    Endeavor
    Endeavor Los Angeles, United States

    2 days ago

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    Description
    About Altruist
    Altruist is a growing fintech company revolutionizing the financial advice industry. Our goal is to enhance financial advice, making it more accessible and affordable to all. As a modern custodian designed exclusively for registered investment advisors (RIAs), we aim to transform the $100T RIA market. Join us if you resonate with our values of kindness, brilliance, and grit, and are eager to create a significant impact.

    About the position
    - Marketing Compliance Associate
    Altruist is in an exciting phase and is seeking a Marketing Compliance Associate to join the Compliance team.

    Responsibilities:
    - Ensure regulatory compliance of our FINRA-member broker-dealer and SEC-registered investment adviser
    - Act as an expert for marketing review, aligning with FINRA and SEC advertising requirements
    - Oversee compliance initiatives regarding social media monitoring and advisor referrals
    - Provide guidance to the marketing team, especially on testimonials following SEC and FINRA rules
    - Review and approve marketing materials daily
    - Categorize and review marketing materials for affiliates' products
    - Participate in testing and monitoring policies of Altruist's regulated entities
    - Assist in regulatory examinations as needed
    - Support various compliance tasks

    Requirements:
    - 2+ years of advertising/marketing compliance experience at a FINRA-member broker-dealer 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 mindset and customer empathy
    - Proficiency with financial products
    - Ability to leverage technology for business processes
    - Strong written and verbal communication skills
    - Comfortable in a fast-paced environment
    - Bachelor's degree or equivalent experience
    - FINRA Series 7 and 24 licenses

    Benefits:
    - Competitive salary and stock options
    - Premium Healthcare, Dental, and Vision insurance
    - Generous paid parental leave
    - 401(k) plan with matching contributions
    - Flexible paid time off
    - Total compensation includes stock options
    Potential salary range: $70,000 - $113,000 USD

    Altruist ensures equitable pay based on various factors and conducts regular pay reviews. We are committed to diversity and inclusion in our workplace. If you're passionate about the role and don't meet every qualification, we encourage you to apply. Your experience could be a valuable asset to us.
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