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    Farther Finance

    Financial Services

    Senior Regional Compliance Associate

    Hybrid - New York, United StatesOn-SiteFull-time5+ yrs experiencePosted 2w ago
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    Job description

    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!

    Job details are sourced from the employer's original posting.

    Open job posting
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    About the company

    Farther Finance

    Farther is the first digital family office. Farther pairs established financial advisors with intelligent technology to deliver the modern wealth management experience that clients deserve and to empower advisors to provide better service to more clients. We’ve reimagined what a wealth management platform delivers, allowing clients to easily find a financial advisor and communicate how and when they want, to customize, invest, and professionally manage their entire financial lives in one place, and to automatically squeeze more out of every hard-earned dollar to reduce their tax bills. In other words, we help our clients go Farther. Farther’s founders are leaders and innovators from the private wealth industry and possess a unique mix 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 and builders who are passionate about helping our 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 go farther with you.

    View all Farther Finance jobs
    Industry
    Financial Services
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