Technology and Product Co-founder - AI for SEC/FINRA Compliance

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The Opportunity Compliance at SEC- and FINRA-regulated firms still runs on manual review and noisy keyword tools, and the costs are rising.

Legacy surveillance tools generate hundreds of false positives every week.

A typical 5-person team loses ~3,000 hours a year to triage and status chasing, about $250K in leakage per mid-market firm.

Recent SEC penalties for off-channel communication and recordkeeping failures topped $536M.

Market: 19,000 US RIAs and broker-dealers, 7,800 mid-market targets,…

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