Technology and Product Co-founder - AI for SEC/FINRA Compliance
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Job Description Job Description 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-de…
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