I’m Justin Ramirez, General Counsel and Chief Compliance Officer at dub, a social investing platform. I oversee legal and compliance across the firm’s FINRA broker-dealer, SEC-registered investment adviser, and futures entities, covering everything from membership applications, examinations, and AML to product counsel, commercial contracts, and corporate matters.
My work sits at the intersection of three things that rarely coexist in one seat: securities regulation, product design, and hands-on AI engineering. I’ve spent the last two years proving they belong together, showing that the same person who writes the WSP section can write the rule set the model enforces, and that regulators respond well to firms that show their work early.
Before the AI systems, the through-line of my career has been building regulatory infrastructure for novel products: taking a copy-trading platform through FINRA’s membership process, managing SEC and state examinations to resolution, standing up AML and supervision programs from scratch, and structuring the entity and registration footprint for expansion into advisory, futures, and digital assets.
If you’re a firm thinking about AI supervision architecture, a compliance team weighing build-versus-buy, or a founder trying to figure out what regulators will actually ask, I’m glad to compare notes.
Contact: jmramirez384@gmail.com
Experience: Roles, licenses, and education · LinkedIn
