Senior Regional Compliance Associate
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Job Location:
Irving, TX - USA
Monthly Salary:
Not Disclosed
Posted on:
Yesterday
Vacancies:
1 Vacancy
Job Summary
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
Farther is looking for a sharp detail-oriented compliance professional to join our growing team as a Senior Regional Compliance this role youll be embedded in one of our geographic regions serving as the day-to-day compliance resource for a distributed network of advisors. Youll 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 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
- Bachelors 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 Lets talk!
Required Experience:
Senior IC
About Company
Our experienced advisors and data-driven wealth platform set a new standard in financial planning, putting your money to work for you, your family, your future — and beyond.
