Description
Farther is hiring a Senior Regional Compliance Associate to serve as the primary compliance resource for an assigned geographic region, supporting distributed advisor teams and business leadership. The role includes reviewing trade blotters, correspondence, marketing materials, and attestations; approving outside business activities and gifts; providing compliance guidance and training; investigating complaints; supporting regulatory examinations and audits; producing supervisory reports; and partnering with RIA Managing Directors on compliance-based coaching. The position requires at least five years of financial services compliance or supervisory experience, active Series 66 and Series 24 licenses, knowledge of FINRA and SEC rules, and a bachelor's degree or higher. Some regional travel and variable working hours are required, and the role offers health benefits, 401(k) matching, Roth IRA options, and unlimited PTO.
