Senior Analyst, Operational Risk - Client Communications & Controls

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!

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.

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.

• 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

• 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…