Senior Regional Compliance Associate

Farther Finance

Hybrid, TX, United States
Competitive comp pyckage; full health benefits + 4...
On-site
5+ years financial services compliance experience
Conduct principal-level supervisory reviews
Review trade blotters and marketing materials
Farther is a rapidly growing RIA combining expert advisors with cutting-edge technology to deliver tailored wealth management experiences

Job Summary

  • Farther is a rapidly growing RIA combining expert advisors with cutting-edge technology to deliver tailored wealth management experiences.
  • The role serves as the primary compliance resource for a specific geographic region, ensuring advisors adhere to strict guardrails while serving clients.
  • Candidates will partner with business leadership on supervisory matters, conduct regular reviews of trade blotters and correspondence, and support regulatory examinations.

Matching Summary

Farther is a rapidly growing RIA combining expert advisors with cutting-edge technology to deliver tailored wealth management experiences.

Salary

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

Skills & Requirements

Must-have

  • 5+ years financial services compliance experience
  • Conduct principal-level supervisory reviews
  • Review trade blotters and marketing materials
  • Investigate client complaints and resolve issues
  • Support regulatory examinations and internal audits

Nice-to-have

  • Experience with distributed remote advisor teams
  • Familiarity with compliance technology platforms
  • Background in OSJ or branch examination
  • Track record working with fintech startups
  • Ability to travel approximately 30% of time

Key Requirements

  • Active Series 66 and Series 24 licenses
  • Bachelor's degree or higher required
  • Comprehensive knowledge of FINRA and SEC rules
  • Demonstrated principal-level or OSJ supervisory review experience

Work Rights

Not specified

Tailored Resume

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