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Altruist is building an AI platform for wealth management, partnering with financial advisors to optimize their practices and deliver superior client outcomes. The company is launching and scaling Margin and Options capabilities—two risk-intensive products at a modern custodian—and seeking a Senior Analyst, Trading Credit Risk to execute daily risk surveillance, exception review, and escalation work.
This is a hands-on individual contributor role within Trading & Brokerage Operations, reporting to the Trading Credit Risk manager, with a clear growth path toward a manager position for high performers.
Key responsibilities include:
**Daily Margin Risk Surveillance:** Perform daily reviews in Stream Credit Monitor (SCM) to validate margin requirements, calls, and exceptions. Monitor concentration, liquidity, and volatility risk across margin accounts. Use Sterling Risk Monitor (SRM) to assess intraday exposure and stress scenarios. Track debit balance trends and accounts approaching liquidation thresholds, escalating per policy. Coordinate with the Trade Desk on liquidations required to satisfy margin or debit obligations. Apply collateral treatment rules, including haircuts on fixed income and other security types.
**Options Risk Reviews:** Run expiration-day and in-the-money (ITM) reviews for assignment and exercise exposure. Identify uncovered or at-risk options positions and escalate for resolution. Support monitoring of OCC margin outputs (STANS) and spread files in partnership with Operations.
**Regulatory & Control Responsibilities:** Execute daily work in compliance with Regulation T, FINRA Rule 4210, and FINRA Rule 2360. Support Reg T extension filings and exception documentation. Maintain clear documentation and audit evidence for daily reviews, exceptions, and escalations. Contribute to KRI tracking and recurring risk reporting.
**Build & Improve:** Provide operational feedback and testing support to Product and Engineering during risk control buildouts. Identify manual surveillance steps that can be automated and propose improvements, including experiments with AI tooling.
Required experience: 2+ years in margin, credit risk, or brokerage risk operations at a broker-dealer, clearing firm, or custodian. Hands-on experience with margin calls, debit balances, or credit monitoring strongly preferred. Working knowledge of Reg T, maintenance margin, PDT rules, and basic options mechanics. Experience with exception reports and time-sensitive workflows. Familiarity with risk systems and SQL/data analysis a plus.
