About The Position
The current compliance process for U.S. RIAs, broker-dealers, and wealth fintechs is largely manual, involving analysts reviewing marketing materials, scanning communications for keywords, and manually reviewing trades. This leads to significant operational costs and regulatory exposure for over 25,000 firms. The global RegTech market is projected to grow substantially in the coming decade. This venture aims to be a category leader by building an explainable AI platform that mimics the reasoning of a senior compliance officer. The platform will cite firm policies and SEC/FINRA regulations for its decisions and provide audit-ready evidence on demand for marketing, communications, trading, policy, audit, and filings. It is designed to integrate with existing compliance systems, replacing manual review with AI judgments that can withstand regulatory scrutiny. The product roadmap includes marketing review, communications surveillance, policy and manuals, audit, and eventually regulatory filings and enterprise integrations.
Requirements
- Shipped LLM-powered systems into production environments where incorrect outputs carried real consequences — not prototypes or demonstrations.
- Full-stack confidence across applied LLMs, RAG, retrieval, deterministic rules engines, human-in-the-loop workflows, observability, and secure multi-tenant SaaS (SOC 2, tenant isolation, encryption, audit logging).
- Well-formed convictions about explainability and reliability engineering, developed through direct production experience.
- Prepared to operate as a principal — setting the technical agenda, making decisive calls under uncertainty, and owning the outcomes that follow.
Nice To Haves
- Prior founder, founding engineer, or early-stage technical leadership experience.
- Background in legal tech, RegTech, fintech compliance, healthcare, or another high-trust regulated vertical.
- Familiarity with the U.S. wealth management ecosystem, including SEC and FINRA workflows, marketing review, communications surveillance, and trade monitoring.
- Direct experience self-hosting or privately deploying foundation models.
Responsibilities
- Write the first lines of production code.
- Set the technical direction.
- Lead execution end-to-end.
- Establish the core architecture, engineering culture, and security posture, including SOC 2 readiness, tenant isolation, encryption, and audit logging.
- Ship a marketing review prototype into production with a design partner early adopter.
- Deliver communications surveillance, trading oversight, audit-ready logs and reporting.
- Release GA v1 covering all core modules except regulatory filings within 9 months.
- Expand into regulatory filings and enterprise integrations through 18 months.
- Own the training and constant evolution of the core AI/LLM model, delivering robust and highly reliable analysis.
- Own the explainability layer that produces audit-ready evidence on demand.
- Own the reliability engineering that ensures the platform performs consistently in the field.
- Represent the company in front of all customer constituencies and third-party interests, as well as investors, as the technical voice of the venture.
- Convert pilots into ten paying customers and reach $1M ARR within 18 months, partnering with the CEO on conversion and fundraising.
- Recruit and lead the founding engineering and applied AI team.
- Establish the cultural foundation of the company.
Benefits
- Founder-level equity
- Founder-level authority with co-decision rights on product, technology, hiring, fundraising, and strategy
- A board or board-observer seat as appropriate to the cap table and stage
- A genuine partnership with the CEO on every material decision
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
