Director Of Compliance And Counsel

Summary

Join Alto's growing team as the Director, Compliance & Counsel, assisting the SVP, Legal in leading the Compliance Department and providing legal counsel. You will develop and review company policies, implement procedures, and act as a subject matter expert on IRA administration compliance and BSA program matters. The role offers general compliance support across various teams (Product, Operations, Customer Support, Information Security, and Marketing). You will also oversee the department's daily workflow and ensure timely completion of compliance training. Alto offers a dynamic and collaborative work environment with a remote-first culture and numerous benefits.

Requirements

• J.D. from an accredited law school; admitted to practice law and in good standing in at least one jurisdiction of the U.S
• Relevant work experience in the financial services industry or law firm advising financial service companies is necessary (minimum 2-5 years’ experience)
• Excellent verbal and written communication skills
• Excellent interpersonal and internal customer skills
• Excellent customer service skills
• Excellent organizational and project management skills and attention to detail, including the ability to handle multiple projects
• Excellent time management skills with a proven ability to meet deadlines
• Strong analytical and problem-solving skills
• Strong supervisory and leadership skills
• Ability to prioritize tasks and to delegate them when appropriate
• Ability to function well in a high-paced and at times stressful environment
• Proficient with Microsoft Office Suite or related software

Responsibilities

• Develop compliance strategy and support the SVP, Legal on legal matters concerning the organization’s parent company and affiliates
• Develop, maintain, implement, and update internal policies and procedures to comply with various regulatory requirements and industry best practice
• Act as subject matter expert on issues related to individual retirement accounts, applicable federal tax matters, cryptocurrency regulations, private investments (including but not limited to Reg D, Reg A, and Reg CF), the Bank Secrecy Act, financial services matters, UDAAP, and other relevant law and regulations
• Support the company’s BSA Officer by administering the company’s KYC activities and maintain, implement, manage, and update its BSA Program
• Respond to internal client questions and requests regarding all matters related to operations, product, and customer support
• Review internally developed content for Product and Marketing teams including the organization’s website, customer emails, blogs, and social media posts
• Review commercial contracts to ensure compliance with the company’s third-party risk management policy and address obligations and liabilities to the organization and respond to vendor and partner due diligence requests
• Support efforts to achieve and maintain SOC 2 certification
• Identify potential areas of improvement and efficiency in all areas of the Company
• Proactive problem solve as it relates to regulatory and legal obligations of the company while reducing friction for the company’s customers and internal clients
• Oversee the daily workflow of the department
• Ensure timely completion of all Compliance Training requirements

Benefits

• A generous open PTO policy
• Comprehensive health insurance options for employees
• 401(k) with company match up to 3% yearly
• Equity as a part of your compensation
• A competitive compensation and benefits package
• 12 paid holidays
• Discounted and/or free Alto investor accounts
• Four to 12 weeks paid parental leave
• A remote-first culture - work from home or our Nashville office
• Flexibility to work from anywhere in the US
• An emphasis on work-life balance
• No-meeting Fridays