Lead AI Engineer

Lead AI Engineer We are seeking a Lead AI Engineer to design and build a new AI-powered compliance screening platform supporting regulatory analysts responsible for reviewing broker?dealer advertising and communications for regulatory compliance.

This is a high-impact, hands-on technical leadership role at the intersection of:

• Artificial Intelligence
• Financial regulatory compliance
• Risk managementThe role focuses on applying LLMs and AI systems in a regulated production environment—not AI research or training foundational LLMs from scratch.

Business Context

• Greenfield initiative: building a new compliance screening platform
• Platform supports an Advertising Regulation team responsible for reviewing broker?dealer advertisements
• Advertising and marketing materials must be reviewed for regulatory compliance
• Content formats include:
• PDFs, Emails , Social media , Images, charts, disclosures , Video and audio
• The platform will help regulatory analysts:
• Detect compliance violations
• Assess risk
• Generate auditable, explainable decisionsResponsibilitiesAI System Architecture
• Design and implement end-to-end AI pipelines, including:
• Document ingestion (PDF, HTML, images, video/audio)
• Multimodal extraction (OCR, layout parsing, vision-language models)
• LLM-driven compliance reasoning
• Build scalable retrieval-augmented generation (RAG) systems grounded in regulatory contentCompliance Intelligence
• Translate financial and banking regulatory frameworks into machine-interpretable logic

Develop:

• Rule classifiers (e.g., performance claims, disclosures)
• Risk scoring models
• Violation detection workflowsLLM & Model Strategy
• Evaluate and implement LLMs optimized for compliance-focused actions
• :• Prompt engineering and tool usage• Fine-tuning strategies w appropriate• Guardrails and hallucination mitigation techniques• Integrate multimodal models to analyze charts, images, and layout-based disclosuresExplainability & Auditability• Build systems that generate:• Clear, regulator-ready explanations• Evidence-backed decisions linking text spans to specific rules• Ensure full audit trails for all AI-generated outputs• Leverage advanced LLM evaluation frameworks (deepeval preferred)Evaluation & Risk Management• Define and track model performance metrics, including:• Precision•Recall•False negatives• Implement human-in•the-loop review workflows• Conduct adversarial and edge-case testing• Continuously improve model reliability and performanceTechnical Leadership• Serve as a hands-on technical lead, writing production-quality code• Establish best practices for:• System architecture•Coding standards•MLOps and CI/CD• Mentor and level up existing engineers• Collaborate cross-functionally with:• Compliance•Legal•Product teams• Translate regulatory and business requirements into scalable AI solutions Required Qualifications Education • Bachelor's or Master's degree in Computer Science, AI/ML, or related field • PhD preferred but not required Experience • 8+ years of experience in software engineering and/or machine learning • Proven success building and deploying production AI/ML systems • 2-3+ years of experience in financial or banking regulatory compliance • More than a single project • Experience within a financial compliance organization is strongly required • Background working in regulated environments Technical Skills AI / Machine Learning • Strong expertise in: • NLP and Large Language Models (LLMs) • Retrieval Augmented Generation (RAG) • Model evaluation and benchmarking • Familiarity with multimodal AI (text, image, layout) Tools & Frameworks • Strong Python backend engineering experience (mandatory) • Experience with LLM orchestration and agent frameworks such as: • LangChain • AWS Strands • Vector databases (e.

g., PG Vector, Pinecone)

• Document processing pipelines (OCR, PDF parsing tools) Systems & Infrastructure
• Cloud platforms: AWS, GCP, or Azure
• MLOps, CI/CD pipelines, and model monitoring
• Scalable system design and distributed architectures
• Backend focused role (no frontend/UI development required) Compliance & Risk Awareness (Highly Desired)
• Experience with explainable AI (XAI)
• Understanding of auditability and governance requirements
• Exposure to financial and banking regulatory frameworks Preferred Qualifications
• Experience building AI systems for legal or compliance use cases
• Familiarity with marketing and advertising compliance review processes
• Experience analyzing structured and unstructured content, including charts and disclosures
• Background in hybrid AI systems (rules-based + machine learning) #LI-DDVisit the Employer site for more details