Compliance Analyst; RIA Focus

Overview

Why We’re Hiring Demand for turnkey, AI-driven compliance solutions is accelerating, and Luthor is onboarding RIAs faster than we can grow our team. Backed by revenue and new capital, we’re expanding our compliance group to meet that demand. We’re seeking experienced compliance professionals—builders, analysts, and regulators-turned-innovators—ready to define the future of financial compliance.

As a Compliance Analyst (Managed Services), you’ll serve as the first line of support for our RIA clients. You’ll review marketing and advertising materials, run compliance testing, manage filings, and reinforce Code of Ethics programs. You’ll participate in (and help simulate) mock SEC exams and bring practical, real-world compliance knowledge into our workflows and training modules.

• Conduct timely marketing and advertising reviews under the SEC Marketing Rule.
• Participate in mock SEC examinations; prepare response materials and exam-ready documentation.
• Administer and monitor client Code of Ethics programs, including personal trading, gifts/entertainment, and reporting obligations.
• Draft, maintain, and implement compliance manuals, policies, and supervisory procedures.
• Assist with regulatory filings (Form ADV, Form U4, Form CRS, Form D, state notice filings).
• Support AML/KYC processes and maintain SAR/CTR logs.
• Conduct periodic testing of email, social media, and communications surveillance.
• Draft client-ready reports summarizing findings and recommended corrective actions.
• Keep Luthor’s compliance playbooks and internal wikis current with regulatory updates.

• Bachelor’s degree; advanced degree or JD a plus.
• 2+ years of direct compliance experience with RIAs, broker-dealers, or asset managers.
• Strong working knowledge of:
• Investment Advisers Act of 1940
• SEC Marketing Rule (Rule 206(4)-1)
• Code of Ethics obligations (Rule 204A-1)
• FINRA Rule 2210 and Reg BI / Form CRS
• FinCEN AML requirements
• Proven experience in SEC or state exam cycles; mock exam participation highly valued.
• Tech-forward mindset; experience with compliance tech or reg-tech platforms preferred.
• Exceptional writing skills—able to turn dense regulations into crisp, client-ready guidance.
• Detail-oriented, self-directed, comfortable working in a fast-paced startup environment.

• Former regulator or examiner: prior experience at the SEC, FINRA, a state securities division, or another supervisory body.
• Experience building or auditing automated marketing-review systems.
• Familiarity with state securities regulators and multi-state registration nuances.

• Compensation: competitive salary + equity.
• Benefits: 100% employer-paid medical, dental, vision.
• Growth: direct line of sight to Chief Compliance Officer as we scale; influence over product roadmap and industry direction.
• Mission: build the first AI-native compliance firm that lets innovative RIAs market responsibly and grow faster.