Director Ria Jobs in Dallas, TX (NOW HIRING)

The opportunity

We're hiring a Compliance Director to own a major pillar of Altruist's compliance program spanning Marketing Compliance, Third-Party RIA Regulatory Requests, and Employee Compliance - including licensing and registration, continuing education, and our Insider Trading program. You'll lead a team of two compliance associates supporting these programs and partner directly with the Head of Compliance as a senior individual contributor on Written Supervisory Procedures (WSPs) and product compliance.

This is a player-coach role. You'll set multi-quarter strategy across the pillar, develop the talent on your team, and stay hands-on on the highest-leverage substantive work. You'll also serve as a trusted partner to executives across Product, Engineering, Legal, and Marketing, and as a lead point of contact for regulators on matters within scope.

*This is a hybrid role requiring three days per week in the office.

Your impact

• Marketing Compliance - Own the program end-to-end, including the review and approval framework for product-specific communications, disclosures, and materials across web and app platforms under FINRA Rule 2210 and the SEC Marketing Rule.
• Employee Compliance - Own the program end-to-end, including licensing and registration, continuing education, new employee onboarding, issue remediation, and the firm's Insider Trading program (pre-clearance, blackout windows, and ongoing monitoring).
• Third-Party RIA Regulatory Requests - Own the program end-to-end, including responses to regulator requests for information about RIAs that custody on Altruist's platform (records, transactions, holdings, correspondence, and related production).
• WSPs and product compliance - Partner directly with the Head of Compliance as a senior IC on the firm's Written Supervisory Procedures and on product compliance reviews for new launches and material changes.
• Lead, coach, and grow the team; set the quality bar across all three programs and develop both associates toward the next level
• Set multi-quarter strategy and roadmap for the pillar, aligned to firm strategy, product direction, and the regulatory horizon
• Serve as a lead Compliance point of contact for regulators within scope; co-author regulator-facing positions with Legal and manage substantive enforcement and remediation work
• Drive remediation of material issues across the pillar; own the control environment and accountability for outcomes
• Identify, assess, and escalate emerging regulatory risk; recommend and implement enhancements to policies, systems, controls, and training
• Brief executives and contribute to board and audit/risk committee materials on substantive risk and compliance topics

What you bring

• Experience - 10+ years of hands-on compliance experience at a broker-dealer and/or investment adviser, including 3+ years leading and developing teams. Demonstrated ownership of multiple compliance programs at scale, with 3+ years of experience operating as a people manager.
• Investment adviser compliance experience strongly preferred
• Prior experience in a fintech or high-growth financial services environment strongly preferred
• Program breadth - Direct experience owning at least two of: marketing compliance, third-party RIA regulatory requests, or employee compliance (licensing, registration, CE, and insider trading)
• Regulatory expertise - Deep knowledge of FINRA and SEC rules, including FINRA Rule 2210, the SEC Marketing Rule, and the Investment Advisers Act, with the judgment to shape substantive positions, set policy, and apply regulations in a practical, solutions-oriented way
• Regulator-facing experience - Track record as a lead point of contact with regulators, including managing exams, inquiries, and substantive remediation
• Strategic leadership - Sets multi-quarter direction, anticipates second-order effects of regulatory and product change, and connects regulatory shifts to operational impact
• People leadership - Hires strong talent, develops associates toward the next level, runs rigorous calibration and performance management, and sets a high quality bar across multiple programs
• Executive presence - Trusted partner to VPs and C-suite; briefs executives on complex risk topics and contributes to board materials
• Education - Bachelor's degree (B.A. or B.S.) in a relevant field
• Securities licenses - Series 7 and Series 24 required; Series 4 preferred or required within 90 days of hire
• Technical aptitude - Technologically savvy; gets up to speed quickly on modern tech stacks and partners credibly with Engineering and Product
• Influence and communication - Drives outcomes across Compliance, Legal, Operations, Product, and Engineering; persuades with data and regulatory rationale rather than authority
• Bonus points if you bring:
• Hands-on experience authoring and maintaining Written Supervisory Procedures (WSPs)
• Experience administering an insider trading program