Regional Compliance Strategist, FINRA/SEC Expert

Farther; New York (NY); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Health benefits + 401(k) matching

Roth IRA options

Unlimited PTO

Job summary

Farther is seeking a Senior Regional Compliance Associate to join our growing team. You will be embedded in a geographic region, serving as the day-to-day compliance resource for a distributed network of advisors.

You’ll sit within Compliance and partner closely with business leadership to ensure advisors stay focused on client service while guardrails remain tight. Your impact includes conducting reviews, guiding on compliance matters, and supporting regulatory examinations, audits, and

Qualifications

• 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.
• High attention to detail, sound judgment, and integrity when handling sensitive or escalated matters.
• Bachelor's degree or higher

Responsibilities

• 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

Skills

Compliance oversight

Regulatory knowledge

Supervisory experience

Attention to detail

Training and guidance

Education

Bachelor's degree

Tools

Surveillance tools

Job description

Farther is seeking a Senior Regional Compliance Associate to join our growing team. You will be embedded in a geographic region, serving as the day-to-day compliance resource for a distributed network of advisors.

You’ll sit within Compliance and partner closely with business leadership to ensure advisors stay focused on client service while guardrails remain tight. Your impact includes conducting reviews, guiding on compliance matters, and supporting regulatory examinations, audits, and