Senior Regional Compliance Associate

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<h2 class="title">Company Description</h2>
<p>Farther is a rapidly growing RIA that combines expert advisors with cutting-edge technology - delivering a comprehensive, tailored wealth management experience.</p>
<p>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.</p>
<p>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.</p>
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</section></div><p><strong>The Role</strong></p>
<p class="font-claude-response-body break-words whitespace-normal leading-[1.7]">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.</p>
<p><strong>Your Impact</strong></p>
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<li class="whitespace-normal break-words pl-2">Serve as the primary compliance resource for your assigned region, supporting advisors and partnering with business leadership on supervisory matters</li>
<li class="whitespace-normal break-words pl-2">Conduct regular reviews of trade blotters, correspondence, marketing materials, and attestations</li>
<li class="whitespace-normal break-words pl-2">Review and approve outside business activities, brokerage accounts, gifts, and entertainment for registered personnel</li>
<li class="whitespace-normal break-words pl-2">Provide guidance, training, and direction on compliance-related matters to advisors across your region</li>
<li class="whitespace-normal break-words pl-2">Investigate, document, and help resolve client complaints in coordination with the broader Compliance team</li>
<li class="whitespace-normal break-words pl-2">Support regulatory examinations, internal audits, and ongoing Compliance initiatives</li>
<li class="whitespace-normal break-words pl-2">Produce regular supervisory reports and close the feedback loop with advisors on activity, productivity, and logging</li>
<li class="whitespace-normal break-words pl-2">Partner with RIA Managing Directors on advisor coaching opportunities tied to compliance standards</li>
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<p><strong>The Ideal Match</strong></p>
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<li class="whitespace-normal break-words pl-2">5+ years of financial services experience in a compliance or supervisory role, with demonstrated experience conducting principal-level or OSJ supervisory review</li>
<li class="whitespace-normal break-words pl-2">Active Series 66 and Series 24 in good standing</li>
<li class="whitespace-normal break-words pl-2">Comprehensive knowledge of FINRA and SEC rules and regulations</li>
<li class="whitespace-normal break-words pl-2">High attention to detail, sound judgment, and integrity when handling sensitive or escalated matters</li>
<li class="whitespace-normal break-words pl-2">Bachelor's degree or higher</li>
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<p class="font-claude-response-body break-words whitespace-normal leading-[1.7]"><strong>Bonus Points</strong></p>
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<li class="whitespace-normal break-words pl-2">Series 7 and Series 9/10 previously held or currently active</li>
<li class="whitespace-normal break-words pl-2">Experience supporting regulatory examinations or internal audits at an RIA or broker-dealer</li>
<li class="whitespace-normal break-words pl-2">Familiarity with compliance technology platforms and surveillance tools</li>
<li class="whitespace-normal break-words pl-2">Background in a regulated financial services environment with OSJ or branch examination experience</li>
<li class="whitespace-normal break-words pl-2">Track record working with distributed or remote advisor teams</li>
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<p><strong>Please note: </strong>Some regional travel is required (~30%) and working hours may vary depending on the region you support.<strong><br><br>Why Join Us </strong></p>
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<li>Competitive comp package that rewards impact</li>
<li>Work alongside some of the brightest minds in fintech</li>
<li>Ground-floor opportunity at a fast-scaling startup</li>
<li>Chart your own growth path as we expand</li>
<li>Full health benefits + 401(k) matching &amp; Roth IRA options</li>
<li>Unlimited PTO</li>
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<p><strong>Ready to disrupt wealth management? Let's talk!</strong></p>

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