Luthor
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Direct message the job poster from Luthor
About Luthor
Luthor is the first AI-native compliance firm purpose-built for RIAs. We combine domain-specific AI with human expertise to keep advisers compliant with SEC, FINRA, and FinCEN rules while allowing them to move quickly. Our platform automates marketing reviews, surveillance, and filings—while your regulatory expertise validates, interprets, and strengthens the system.
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 (SEC, FINRA, or state securities).
Experience auditing or building automated marketing review systems.
Familiarity with multi-state registration and notice filing requirements.
What We Offer
Competitive salary + equity.
100% employer-paid medical, dental, and vision coverage.
Professional growth: direct line of sight to the Chief Compliance Officer, opportunities to shape product direction, and industry influence.
Mission-driven work: help build the first AI-native compliance firm that empowers RIAs to market responsibly and scale with confidence.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal
Industries
Technology, Information and Internet
Get notified about new Compliance Analyst jobs in
San Francisco, CA .
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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Direct message the job poster from Luthor
About Luthor
Luthor is the first AI-native compliance firm purpose-built for RIAs. We combine domain-specific AI with human expertise to keep advisers compliant with SEC, FINRA, and FinCEN rules while allowing them to move quickly. Our platform automates marketing reviews, surveillance, and filings—while your regulatory expertise validates, interprets, and strengthens the system.
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 (SEC, FINRA, or state securities).
Experience auditing or building automated marketing review systems.
Familiarity with multi-state registration and notice filing requirements.
What We Offer
Competitive salary + equity.
100% employer-paid medical, dental, and vision coverage.
Professional growth: direct line of sight to the Chief Compliance Officer, opportunities to shape product direction, and industry influence.
Mission-driven work: help build the first AI-native compliance firm that empowers RIAs to market responsibly and scale with confidence.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal
Industries
Technology, Information and Internet
Get notified about new Compliance Analyst jobs in
San Francisco, CA .
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr