Senior Regional Compliance Associate

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 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!