Compliance Associate
Compliance Associate
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Salary Not Disclosed
1 Vacancy
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.
Farthers founders are leaders and innovators from the private wealth industry who possess a unique blend of traditional wealth management fintech and technology production 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 youre 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
Our Compliance team is looking for an Associate to focus on the compliance and regulatory needs of our Marketing team. This position requires a strong financial services background and deep regulatory expertise to ensure all marketing and advertising materials meet stringent legal and compliance standards. The ideal candidate will be a finance professional who can navigate complex regulatory frameworks while protecting both the company and its clients from compliance risks.
Your Impact
- Examine marketing materials such as presentations websites and social media to ensure they are accurate truthful and compliant with regulations.
- Offer support and advice to sales and marketing teams on how to create compliant materials.
- Help create and maintain internal policies and procedures related to marketing compliance.
- Identify potential compliance risks associated with marketing activities and implement strategies to mitigate them.
- Monitor changes in regulations and industry best practices to ensure continuous compliance.
- Collaborate closely with legal compliance sales and product teams to ensure a consistent approach to marketing compliance.
- Maintain records of all approved and reviewed marketing materials.
The Ideal Match
- 3 years of experience in financial compliance is required.
- Deep knowledge of relevant laws and regulations governing financial products and marketing including SEC and FINRA rules.
- Familiarity with financial products and services such as investment products insurance products and financial planning services.
- The ability to analyze marketing materials and identify potential compliance issues.
- Meticulous attention to detail to ensure accuracy in all reviewed materials.
- The ability to communicate compliance requirements clearly and build relationships with various stakeholders as a trusted collaborator.
Bonus Points
- Ability to act as a confident and trusted resource building consensus and fostering stakeholder buy-in.
- More than just a decision-maker youre a transparent collaborator who can explain the rationale behind compliance decisions.
- Possession of the Seriesor 53 licenses or a willingness to acquire one (or more) is a plus!
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 Lets talk!
Required Experience:
IC
Employment Type
Full Time
