Compliance Officer

Compliance Officer

About Lumida:

Lumida is a digital-first wealth advisor for people who want access to the same opportunities as institutions - public markets, private deals, and alternatives.

Our mission is to transform wealth management - combining investment excellence and the best of trust and estate planning in a modern, tech-first experience. Our team shares the same mindset as our clients - curious, original, and driven to build what doesn’t yet exist. Recognized for our differentiated, non-consensus insights, Lumida is reshaping how modern investors build and enables its clients to invest beyond the ordinary.

Role Overview:

As a  Compliance Officer  at our  Karachi office , you will be a vital link in our global regulatory operations. Reporting to U.S. leadership, you will operate independently to ensure our Pakistan-based teams and international workflows adhere to stringent  U.S. SEC  and  FINRA  standards. This role is perfect for a high-caliber professional who thrives in a "zero-to-one" fintech environment and is eager to manage compliance for sophisticated products like  ETFs (1940 Act)  and  Private Funds .

Key Responsibilities:

• U.S. Regulatory Bridge:  Ensure all local operational support for Lumida adheres to U.S. SEC Investment Advisers Act of 1940 and Investment Company Act of 1940 (ETF) standards.

• Advisor Onboarding & FINRA:  Manage the registration lifecycle for U.S.-based advisors, including coordinating  FINRA (CRD/IARD)  filings and tracking licensing requirements from our Karachi hub.

• ETF & Fund Compliance:  Support the compliance framework for our upcoming  ETF launch , focusing on periodic reporting, valuation oversight, and record-keeping mandates.

• Global AML/KYC:  Lead the execution of Anti-Money Laundering (AML) and Know Your Customer (KYC) protocols for high-net-worth clients, maintaining a "gold standard" for documentation.

• Internal Testing & Audits:  Perform periodic testing of internal controls and assist in preparing  Form ADV  and  Form PF  filings.

• Training & Culture:  Act as the on-site "Culture of Compliance" lead in Karachi, delivering guidance and training to ensure our local research and tech teams understand U.S. regulatory boundaries (e.g., Insider Trading, SEC Marketing Rule).

• Communications Review:  Assist in the compliance review of marketing materials and social media content to ensure they meet U.S. regulatory standards for fairness and transparency.

Requirements:

• Location:  Must be able to work  on-site  at our  Karachi (Khi)  office.

Experience:

• 2–5+ years  in compliance, legal, or risk management within a financial institution (Bank, AMC, or Fintech).

• Regulatory Knowledge:  While knowledge of SEC/FINRA is a major plus, you must have a strong foundational understanding of international compliance standards and a demonstrated ability to master U.S. regulations quickly.

• Education:  Bachelor’s degree in Law, Finance, or Accounting. Professional certifications such as  ACCA, ICAP (CA), or IFMP Compliance Certification  are highly valued.

• Communication:  Flawless English communication skills (written and verbal) are non-negotiable, as you will be documenting policies for a U.S. audience.

• Mindset:  An "independent operator" with high attention to detail and an interest in the "frontier" of finance—alternatives and digital assets.

Lumida Leadership Principles:

• Extreme Ownership:  You take 100% responsibility for the compliance integrity of the Karachi hub.

• All-in Attitude:  You bring intensity and urgency to your work, matching the pace of our U.S. team.

• Growth Mindset:  You are excited to learn the nuances of the 1940 Act and SEC Marketing Rule.

Benefits & Perks:

• Global Exposure:  Direct involvement in the U.S. financial markets and SEC regulatory landscape.

• Competitive Compensation:  Market-leading USD salary with equity upside opportunities.

• Growth Path:  Opportunity to play a founding role in our Pakistan-based leadership as the office scales.

• Tech-First Environment:  Work with modern compliance tools in a high-energy, digitally native firm.

At Lumida Wealth, we don’t do slow or inefficient. If you want to be part of a high-performance, execution-driven team, attempt our screening test to apply now.

Link:  https://app.testgorilla.com/s/07beqb4m