Luthor blends AI-native workflows with the judgment of former SEC attorneys, examiners, and seasoned compliance pros to deliver a full-stack compliance program so RIAs and broker-dealers can scale with confidence.

The problem we're solving

Every year, investment advisers, broker-dealers, and fintechs burn countless hours (and risk seven-figure fines) piecing together filings, surveillance, policy updates, and marketing reviews across disconnected tools and consultants. The result: launch delays, surprise deficiency letters, and teams stuck in compliance quicksand instead of serving clients.

How we solve this problem

Luthor replaces scattered tools and consultants with one AI-powered platform. Our LLM agents scan disclosures, AML and trading data, records, and marketing content for rule breaches, producing audit-ready docs in seconds. Former SEC attorneys validate every critical result, marrying speed with proven judgment. RIAs love us because we just do it all for them so they can go back to serving their clients.

Why we're hiring

Demand for a turnkey, AI-driven compliance solution is skyrocketing, and we’re onboarding RIAs faster than we can expand our team. Backed by real revenue and fresh capital, we’re looking for talented builders and regulators-turned-innovators to define the future of end-to-end financial compliance.

We’re Luthor — the first AI-native compliance firm built to keep Registered Investment Advisers (RIAs) on the right side of SEC, FINRA, and FinCEN rules while letting them move fast. Our platform blends purpose-built LLMs with human expertise to automate compliance reviews, surveillance, and required filings. Your deep regulatory know-how will be the human intelligence that guides and validates the machine.

The Opportunity

RIAs trust Luthor to keep their entire compliance stack running smoothly so they can focus on clients, not regulations. As a Compliance Analyst (Managed Services) you’ll support our RIA customers by handling day-to-day compliance tasks, from regulatory filings to AML checks, while learning the “why” behind every rule. You’ll grow quickly through hands-on work, mentoring, and a structured training path, becoming a subject-matter expert in modern RIA compliance.

Core Responsibilities

• Design, implement, and maintain a best-in-class compliance framework for RIA clients.
• Prepare and file regulatory filings
• AML & KYC: Run customer due-diligence checks and maintain SAR logs
• Review employee trades and gifts/entertainment reports against firm policies.
• Monitor and sample email, chat, and social channels; help maintain required books & records.
• Compare client policies to current SEC / FINRA / FinCEN guidance and flag gaps.
• Draft clear, client-ready summaries of findings and recommended fixes.
• Keep our playbooks and internal wikis up to date; share lessons learned with the team.
• Support trainings, conference prep, or beta-testing new product features.

What we’re looking for

• Bachelor’s degree (any discipline that builds critical thinking; finance / accounting / economics a plus).
• 3+ years directly managing compliance for RIAs, broker-dealers, or TAMPs.
• Working grasp of the Investment Advisers Act, SEC Marketing Rule, FINRA Rule 2210, Reg BI / Form CRS, and FinCEN AML requirements.
• Demonstrated success running SEC exam cycles end-to-end with minimal findings.
• Tech-forward mindset: experience with compliance tech, reg-tech, or data-driven workflows; comfortable shaping AI products.
• Licenses/certs: Series 65/24/7, IACCP, or CAMS strongly preferred.
• Expert Communicator: able to translate dense regs into crisp guidance for engineers, marketers, and clients.
• Meticulous, process-oriented, thrive in a fast-moving, ambiguous startup setting.

Nice-to-Haves

• 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.

What we offer

• 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.