Compliance Officer

About the job

Location: Karachi (On-site)

Employment Type: Full-time

Application Requirement: Screening Test (See details below)

About Lumida:

Lumida is a New York-based, venture-backed, AI-driven wealth management startup at the intersection of finance and cutting-edge technology. We are revolutionising wealth management using AI, automation, and high-performance engineering to serve high-net-worth clients. If you're passionate about pushing boundaries, join us in shaping the future of wealth management.

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:

ETF Compliance:

Employee Trading Oversight:

Regulatory Documentation:

SPV and Entity Management:

Policy and Procedure Support:

Requirements:

Qualifications:

Why Join Lumida?

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.