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.

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.

About Luthor

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 Role

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.

Core Responsibilities

• 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.

What we’re looking for

• 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.

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.