Compliance Officer

Location: Karachi (On-site)

Employment Type: Full-time

Application Requirement: Screening Test (See details below)

About Lumida:

We are a digitally native, independent investment advisor specializing in alternative investments.

At Lumida Wealth, we want to redefine wealth management.

Lumida is recognized in industry media and trusted for our non-consensus insights.

We seek to combine investment excellence with the best of trust and estate in a digitally native format.

Role Description:

Lumida Wealth is seeking a highly meticulous and strategic Compliance Officer to support in ensuring the firm’s adherence to regulatory requirements set by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). In this role, you will be responsible for reviewing marketing materials, monitoring employee trading, managing regulatory filings, and overseeing SPV and entity compliance. You will collaborate with various departments to uphold our compliance standards and support the launch and ongoing management of investment products, including an Exchange-Traded Fund (ETF).

Key Responsibilities:

Marketing Compliance:

Collaborate with the marketing team to review and approve all marketing materials—including social media content, newsletters, blog posts, and Twitter content from both individuals and the company brand—ensuring adherence to SEC marketing rules.
Review and approve social media campaigns to maintain regulatory compliance.
ETF Compliance:

Assist in obtaining FINRA approvals for ETF-related marketing initiatives and ensure ongoing compliance during the ETF launch and operational phases.
Employee Trading Oversight:

Monitor employee trading activities to enforce the firm’s code of ethics and prevent conflicts of interest or insider trading.
Regulatory Documentation:

Maintain and update the firm’s Form ADV, ensuring that all compliance records are accurate and current.
Coordinate and ensure timely submission of all required filings to the SEC, FINRA, and other regulatory bodies.
SPV and Entity Management:

Manage capitalization tables for Special Purpose Vehicles (SPVs) and other entities, verify the accuracy of Net Asset Value (NAV) calculations, and oversee the preparation and timely distribution of K-1 tax forms to investors.
Policy and Procedure Support:

Assist in developing and implementing compliance policies and procedures.
Support the Chief Compliance Officer in responding to regulatory inquiries and examinations.
Stay informed about changes in SEC and FINRA regulations and assist in updating compliance practices accordingly.

Requirements:

Strong knowledge of SEC and FINRA regulations, particularly marketing and advertising rules.
Familiarity with social media compliance and monitoring processes.
Understanding of cap table management, SPV structures, and tax documentation (e.g., K-1 forms).
Proficiency with Microsoft Office, especially Excel, for managing compliance documentation and data analysis.

Qualifications:

Experience: 2-3 years in a compliance role within the financial services industry, preferably with investment advisors or ETFs.
Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field.
Certified Compliance & Ethics Professional (CCEP) or similar certification is a plus.
Exceptional attention to detail, strong organizational and communication skills, and the ability to work independently in a fast-paced environment.

Why Join Lumida?

Be part of a dynamic and innovative company at the cutting edge of the crypto industry.
Work with a passionate and talented team dedicated to transforming finance.
Opportunities for professional growth and development.
Competitive salary, equity, and benefits package.

At Lumida, you will join a team that values the holistic growth of both clients and employees. We offer an environment conducive to continuous learning, intellectual development, and impactful community engagement—all built on a foundation of exceptional investment expertise.

Interested? Attempt our screening test to apply. Link: https://app.testgorilla.com/s/07beqb4m