Join Farther as a Senior Regional Compliance Associate to support advisors and ensure compliance in a growing wealth management firm.
Posted by employer 4 months ago
First seen on Joblaze 40 minutes ago
Last verified on the company career page 40 minutes ago
What you'll build
- Serve as the primary compliance resource for your assigned region
- Conduct regular reviews of trade blotters and correspondence
- Review and approve outside business activities and brokerage accounts
- Provide guidance and training on compliance-related matters
- Support regulatory examinations and internal audits
Must have
- 5+ years of financial services experience in a compliance or supervisory role
- Active Series 66 and Series 24 in good standing
- Comprehensive knowledge of FINRA and SEC rules and regulations
- Bachelor's degree or higher
Nice to have
- Series 7 and Series 9/10 previously held or currently active
- Experience supporting regulatory examinations or internal audits
- Familiarity with compliance technology platforms
- Background in a regulated financial services environment
Practical constraints
- Some regional travel is required (~30%)
Requirements
- Experience
- 5+ years
- Education
- Bachelor's degree
Not disclosed in this posting: compensation, visa sponsorship.
Benefits
Joblaze summary
The Senior Regional Compliance Associate at Farther plays a crucial role in ensuring compliance within a network of advisors by providing day-to-day support and guidance on regulatory matters. This position requires a strong background in financial services compliance, particularly with a focus on FINRA and SEC regulations, along with active Series 66 and Series 24 licenses. Ideal candidates will have over five years of experience in compliance or supervisory roles, particularly in a distributed advisory environment. The role is part of a growing team that emphasizes collaboration and integrity in wealth management.
Joblaze insights
- Listed today on Joblaze — tracked directly from Farther's career page.
- Farther has 37 other open roles including Client Operations Associate , Senior Frontend Engineer, Conversational & Gen UI, Client Transitions Associate.
Quick facts
- Is the Senior Regional Compliance Associate role remote?
- It's hybrid — Farther expects some on-site time in New York, NY, United States.
- How much experience is required?
- At least 5 years of relevant experience for this Senior Regional Compliance Associate role.
- Where is the role based?
- Farther is hiring for this position in New York, NY, United States.
- What seniority level is this role?
- Farther targets senior candidates for this position.
- Is this full-time or contract?
- Full-time for this Senior Regional Compliance Associate role at Farther.
From the original posting
Company Description
Farther is a rapidly growing RIA that combines expert advisors with cutting-edge technology - delivering a comprehensive, tailored wealth management experience.
Farther’s founders are leaders and innovators from the private wealth industry who possess a unique blend of traditional wealth management, fintech, and technology production expertise. We’re backed by top-tier venture capital firms, fintech investors, and industry leaders.
Joining Farther means joining a collaborative team of entrepreneurs who are passionate about helping their clients and our teammates achieve more. If you’re the type who breaks through walls to get things done the right way, we want to build the future of wealth management with you.
The Role
Farther is looking for a sharp, detail-oriented compliance professional to join our growing team as a Senior Regional Compliance Associate. In this role, you'll be embedded in one of our geographic regions, serving as the day-to-day compliance resource for a distributed network of advisors. You'll sit within the Compliance function and partner closely with business leadership across the firm to make sure our advisors can focus on what they do best, serving clients, while we keep the guardrails tight.
Your Impact
- Serve as the primary compliance resource for your assigned region, supporting advisors and partnering with business leadership on supervisory matters
- Conduct regular reviews of trade blotters, correspondence, marketing materials, and attestations
- Review and approve outside business activities, brokerage accounts, gifts, and entertainment for registered personnel
- Provide guidance, training, and direction on compliance-related matters to advisors across your region
- Investigate, document, and help resolve client complaints in coordination with the broader Compliance team
- Support regulatory examinations, internal audits, and ongoing Compliance initiatives
- Produce regular supervisory reports and close the feedback loop with advisors on activity, productivity, and logging
- Partner with RIA Managing Directors on advisor coaching opportunities tied to compliance standards
The Ideal Match
- 5+ years of financial services experience in a compliance or supervisory role, with demonstrated experience conducting principal-level or OSJ supervisory review
- Active Series 66 and Series 24 in good standing
- Comprehensive knowledge of FINRA and SEC rules and regulations
- High attention to detail, sound judgment, and integrity when handling sensitive or escalated matters
- Bachelor's degree or higher
Bonus Points
- Series 7 and Series 9/10 previously held or currently active
- Experience supporting regulatory examinations or internal audits at an RIA or broker-dealer
- Familiarity with compliance technology platforms and surveillance tools
- Background in a regulated financial services environment with OSJ or branch examination experience
- Track record working with distributed or remote advisor teams
Please note: Some regional travel is required (~30%) and working hours may vary depending on the region you support.
Why Join Us
- Competitive comp package that rewards impact
- Work alongside some of the brightest minds in fintech
- Ground-floor opportunity at a fast-scaling startup
- Chart your own growth path as we expand
- Full health benefits + 401(k) matching & Roth IRA options
- Unlimited PTO
Ready to disrupt wealth management? Let's talk!