Compliance Analyst (RIA Focus) jobs in United States
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Luthor · 4 months ago

Compliance Analyst (RIA Focus)

positionSan Francisco, CA
timeFull-time
remoteOnsite
seniorityEntry, Mid Level
money$80K/yr - $135K/yr
date2+ years exp

Luthor is the first AI-native compliance firm focused on ensuring Registered Investment Advisers (RIAs) adhere to regulatory requirements while maintaining efficiency. They are seeking a Compliance Analyst to support RIA clients by conducting compliance reviews, managing filings, and reinforcing Code of Ethics programs.

Artificial Intelligence (AI)B2BMarketing

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

Qualification

Compliance experienceInvestment Advisers ActSEC Marketing RuleCode of Ethics obligationsFINRA Rule 2210AML/KYC processesRegulatory filingsTech-forward mindsetExceptional writing skillsDetail-oriented

Required

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

Preferred

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

Benefits

100 % employer-paid medical, dental, vision

Company

Luthor

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Luthor automates your end-to-end content strategy. Scale up content delivery — effortlessly.
dateFounded in 2024
location
San Francisco, California, USA
people-size2-10 employees
web-link
https://www.luthor.ai/

Funding

Current Stage
Early Stage
Total Funding
$0.5M
2024-09-08Pre Seed· $0.5M
Company data provided by crunchbase