Director Of Compliance

Farther Finance

New York, NY, US
Competitive comp pyckage; full health benefits + 4...
On-site
8+ years asset management compliance experience
5+ years marketing compliance review
Sec rule 206(4)-1 application expertise

Salary

Competitive comp package; Full health benefits + 401(k) matching & Roth IRA options; Unlimited PTO

Skills & Requirements

Must-have

  • 8+ years asset management compliance experience
  • 5+ years marketing compliance review
  • SEC Rule 206(4)-1 application expertise
  • Review institutional and retail materials
  • Strategic partner to marketing teams

Nice-to-have

  • Strong communicator translating complexity
  • Meticulous attention to detail
  • Collaborative team environment
  • Fast-scaling startup culture

Key Requirements

  • Series 65 license required
  • 8+ years compliance in asset management
  • 5+ years marketing compliance experience
  • 3+ years applying SEC Rule 206(4)-1
  • Experience with pooled vehicles or SMAs

Work Rights

Not specified

Tailored Resume

Cover Letter