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At Alto, we're changing the way people invest for the future.
For too long, only the ultra-wealthy could afford to benefit from alternative investments, and that meant a lot of missed opportunities for everyday investors. Alto was founded on the belief that a diversified portfolio is essential to investing for the future, and that's only possible if everyone can invest in the assets they're truly interested in.
So we created a solution that allows ordinary people to invest their tax-advantaged retirement funds into non-traditional assets, like real estate, startups, securitized artworks, cryptocurrency, and more.
By joining Alto's growing team, you'll be helping to make our mission a reality. And you'll work with some truly unique people who are passionate about what they do.
To learn more about our team and working with us, please visit our Before You Apply page, which features videos of our CEO and other team members answering questions about working at Alto.
Job Summary:
The Compliance Associate provides general compliance support and operations and will assist the company’s SVP, Legal on all matters related to Product, Operations, Customer Support, Information Security, and Marketing.
Essential Duties and Responsibilities:
- Support the company’s BSA Officer by administering the company’s KYC activities and maintain, implement, manage, and update its BSA Program at the BSA Officer’s direction.
- Document internal workflows and administer compliance training content for the company.
- Respond to internal client questions and requests regarding all matters related to operations, product, and customer support.
- Implement and maintain a system for intaking interdepartmental requests and questions, and maintain department knowledge base and company standard operating procedures (SOPs).
- Create a system for tracking department efficiency metrics and ensure the Legal and Compliance teams are meeting SLAs, and manage and keep current the company's compliance calendar.
- Prepare and submit compliance reportings and due diligence requests for the Company’s banking partners, regulators, and applicable third parties.
- Implement efficiencies for the Company’s procurement workflows, specifically for the Legal, Compliance, Info Sec, and Info Tech groups, in partnership with the Company’s Accounting Department.
- Prepare tax reportings for customer accounts, specifically 5498s and 1099-R - preparation includes auditing customer account information for accuracy of tax reporting and submitting information to the Company’s tax preparation vendor.
- Support efforts to achieve and maintain SOC 2 certification.
- Identify potential areas of improvement and efficiency in all areas of the Company.
Qualifications:
- Must have at least 2-5 years relevant work experience in the financial services industry preferably with a Fintech start-up environment.
- Proven experience supporting compliance programs on behalf of a financial services organization.
- Familiarity with reviewing, and investigating suspicious activities along with knowledge of AML/BSA regulations.
- Previous experience with maintaining governance tools that automate information gathering for SOC 2 purposes.
- Excellent verbal and written communication skills, interpersonal and internal customer 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.
- Ability to function well in a high-paced and at times stressful environment.
- CAMS certification preferred.
We answered your most pressing questions before you apply here. We are a dynamic and collaborative team, all working towards a common goal. With every interaction, you feel our culture throughout our company. We care about diversity, inclusion, and belonging, and every voice is heard. We also care most about our people. We show it through our actions, and we offer a lot of really great benefits, including:
- Open PTO policy encouraging regular time off
- Comprehensive health insurance and voluntary benefits (e.g. dental, vision, LTD, pet coverage, etc.) options
- HSA contribution match for the HSA-eligible health insurance plan
- 401(k) with up to 3% company match yearly
- Equity as a part of your compensation
- Generous paid holiday schedule that allows for at least one 3-day weekend each month
- Four to 12 weeks paid parental leave
- No-meeting Friday: we aim for zero internal meetings on Fridays to allow for focus time
- Quarterly work-from-home stipend to support a fully remote or hybrid work-life
Well, what are you waiting for? Apply already! :)
Alto is an Equal Opportunity Employer and Prohibits Discrimination of Any Kind
Alto is committed to the principle of equal employment opportunity for all employees and to providing employees with a work environment free of discrimination and harassment. All employment decisions at Alto are based on business needs, job requirements and individual qualifications, without regard to race, color, religion or belief, sex (including gender identity, sexual orientation, and pregnancy), family or parental status, or any other status protected by the laws or regulations in the locations where we operate. Alto will not tolerate discrimination or harassment based on any of these characteristics. Alto encourages applicants of all ages.
About Alto
Founded in 2015, AltoIRA aka Alto is a rapidly growing fintech startup based in Nashville, TN. At Alto, we’re building a next-generation platform to provide clients with the tools and opportunities they need to invest retirement funds into alternative assets. We’re empowering everyone to invest in what they choose and supporting their desire to take a more active role in shaping their financial future. The Alto platform streamlines the process for individual investors and advisors to access, research, and invest in alternative assets using retirement funds. It connects investors with private companies, fund managers, and over 50 recognized investment platforms, including Coinbase, Republic, Masterworks, and EquityZen, that offer access to a wide range of alternative assets, including startups, shares in artwork, real estate, cryptocurrency, and more.
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