Technology and Product Co-founder - AI for SEC/FINRA Compliance
FutureSight Ventures · Canada
Salary not listed · Full-Time · Posted 12 hours ago
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About the job
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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