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

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, ~$500M SAM at a $40K ACV.
  
  

The Venture

Backed by AI venture builder FutureSight, FinLext is building a compliance operations platform for broker-dealers, registered investment advisers, and wealth managers. We help compliance teams handle more review work, resolve issues faster, and retain the evidence behind their decisions. Compliance professionals keep final approval authority.

Our initial focus is marketing review: helping firms review marketing materials and client communications before publication. The product brings together submitted content, applicable rules, firm policies, proposed corrections, and reviewer decisions in one workflow. Managed and controlled AI and LLMs deliver consistent and differentiating analysis in moments, not hours or days.

The value to customers is concrete:

• Fewer rounds of revision before approval. Reviewers receive findings tied to specific passages, supporting sources, and proposed corrections. Marketing teams and advisors get actionable feedback that helps them move submissions toward approval.
• More capacity for compliance teams. AI handles repeatable first-pass analysis and prepares findings for review. Compliance professionals can spend more time assessing substantive concerns and exercising judgment–helping grow their firms rather than performing mundane reviews.
• Recommendations reviewers can inspect. Each finding connects the content under review to the relevant rule or firm policy. Reviewers can assess the reasoning, challenge the recommendation, and make an informed decision.
• More Reliable and Consistent Decisions. Better, faster decisions mean fewer fines, better audit outcomes, and much higher user satisfaction.
  
  

Marketing review gives us a focused starting point for demonstrating customer value. The broader opportunity is to connect related compliance work, including electronic communications and trading oversight. Underlying these process transformations is regulatory intelligence incorporating law, regulations, interpretations and firm policy.

Backed by AI venture builder FutureSight, FinLext is the compliance operations platform for broker-dealers, RIAs and wealth managers: one auditable system for regulatory intelligence, supervisory review, remediation, human approval and retained records. AI creates capacity and consistency; compliance professionals keep authority. Our moat is a high-trust architecture and superior outcomes, not generic AI.

The Partnership

FinLext was founded by Richard Hulit (ex-Boomi, Appian, FIS, Nasdaq OMX), supported by an advisory board of ex-regulators, CCOs and legal counsel. The market work is done; now we need a technical and product co-founder to lead the build.

This is a Technical and Product co-founder role. You receive founder-level equity, co-decision rights on product, technology, hiring, fundraising and strategy, a board or observer seat as the stage allows, and a genuine partnership with the CEO on every material decision.

Role & Responsibilities

You will define how AI, software, and professional judgment work together in a regulated environment. That includes the underlying platform and the interfaces compliance teams use to delegate work, inspect findings, request revisions, and make decisions.

For a technical co-founder, this means owning the product and architecture from the outset. You will turn customer discovery into production software and solve practical problems in AI reliability, source grounding, and secure enterprise workflows. Working alongside an experienced financial technology founder and compliance advisors, you will shape both the first product and the business it becomes.

The build spans three connected areas:

• Agentic product experiences. Design interfaces where users can assign review work, follow its progress, inspect supporting evidence, and act on proposed corrections. Determine where agents can analyze, research, or route work independently, and where they need clarification or human intervention. Make uncertainty and decision ownership visible, with compliance professionals retaining final approval.
• Applied AI and orchestration. Build systems that interpret submitted content against relevant regulations and firm policies, retrieve supporting sources, and produce useful findings and proposed revisions. Own model selection, retrieval, tool use, and cross-task coordination. Establish evaluations for missed issues, unsupported findings, citation accuracy, and reviewer acceptance, alongside latency and cost.
• The platform behind the workflow. Architect the services for document ingestion, versioning, workflow state, permissions, and retained decision history. Build secure customer boundaries and integrations with firms’ existing systems. Develop the observability and recovery mechanisms needed to understand failures, reproduce results, and operate reliably as usage grows.
  
  

Marketing review provides a focused first application. The broader engineering opportunity is to build reusable capabilities for evidence, policy interpretation, agent execution, and human review that can support additional compliance workflows. Initial work is underway; you will own final design and platform delivery.

You will own these product and architecture decisions, working directly with customers and domain experts to establish what earns trust and delivers measurable value.

As Technical and Product Co-founder, you will own both how we build and what we build.

• Architecture: write the first production code and design the bounded agent system and its orchestration.
• AI/LLM: own model strategy, RAG over SEC/FINRA rules and firm policy, private deployment where needed, and continuous evaluation.
• Explainability and reliability: every verdict cites its rule; build the evidence ledger, observability and regression testing so results hold up in the field.
• Security: SOC 2 readiness, tenant isolation, encryption and audit logging from day one.
• Product Sense: turn discovery and pilot feedback into a sharp vision and wedge; design human-in-the-loop workflows CCOs trust; decide where AI acts, suggests or only observes.
• Execution: own the roadmap and prioritization from MVP to GA; scope ruthlessly, ship weekly with design partners and convert pilots into paying customers.
• Analytical: define and instrument success metrics (review time saved, false-positive reduction, accuracy, override rate); quantify customer ROI to support pricing, sales and fundraising.
• Team: hire and lead the founding engineering and applied-AI team and set its culture.
  
  

Your first 18 months

• Months 1–3: ship the Marketing Review + Evidence Ledger MVP with 2–3 signed pilots.
• Months 4–6: convert 1–2 pilots to paying customers with proven ROI and auditability.
• Months 7–9: release GA v1, adding communications and trade surveillance and audit reporting.
• Months 10–18: expand into regulatory filings and enterprise integrations; reach 10+ paying customers and $1M ARR.
  
  

Co-Founder Profile

You are a builder who has shipped AI into production where wrong answers had real consequences, and who thinks as hard about the product as about the code.

• Shipped LLM-powered systems into production where incorrect outputs carried real consequences, not prototypes or demos.
• Full-stack depth across applied LLMs, RAG and retrieval, agent orchestration, deterministic rules engines, human-in-the-loop workflows and observability.
• Experience building secure multi-tenant SaaS: SOC 2, tenant isolation, encryption, audit logging.
• Strong product sense: you have defined what to build from customer discovery and owned a roadmap, not just executed one.
• Bias towards action: you ship fast, cut scope ruthlessly and make decisive calls with imperfect information.
• Analytical rigour: you define metrics, build evaluations and let data settle debates.
• Well-formed convictions about explainability and reliability, developed in production.
• Ready to operate as a principal: setting the agenda, owning outcomes, and representing FinLext to customers, partners and investors as its technical and product voice.
  
  

Strongly Preferred

• Prior early-stage Technology and Product co-founder experience.
• Background in RegTech, legal tech, fintech compliance, healthcare or another high-trust regulated vertical.
• Familiarity with US wealth management and SEC/FINRA workflows: marketing review, communications surveillance, trade monitoring, books-and-records.
• Hands-on experience self-hosting or privately deploying foundation models.
  
  

How To Apply

Please submit your resume, LinkedIn profile, and a brief note on why this venture aligns with your goals as a founder. We will move quickly for the right candidate.

FutureSight is committed to diversity, equity, and inclusion. We welcome applicants of all backgrounds and experiences.