Senior Regional Compliance Associate

Farther FinanceHybrid - Irving, TX

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Overview

Schedule

Full-time

Career level

Senior-level

Remote

On-site

Benefits

Health Insurance

Flexible/Unlimited PTO

401k Matching/Retirement Savings

Job Description

u003cpu003eu003cstrongu003eThe Roleu003c/strongu003eu003c/pu003enu003cp class="font-claude-response-body break-words whitespace-normal leading-[1.7]"u003eFarther 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.u003c/pu003enu003cpu003eu003cstrongu003eYour Impactu003c/strongu003eu003c/pu003enu003culu003enu003cli class="whitespace-normal break-words pl-2"u003eServe as the primary compliance resource for your assigned region, supporting advisors and partnering with business leadership on supervisory mattersu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eConduct regular reviews of trade blotters, correspondence, marketing materials, and attestationsu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eReview and approve outside business activities, brokerage accounts, gifts, and entertainment for registered personnelu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eProvide guidance, training, and direction on compliance-related matters to advisors across your regionu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eInvestigate, document, and help resolve client complaints in coordination with the broader Compliance teamu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eSupport regulatory examinations, internal audits, and ongoing Compliance initiativesu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eProduce regular supervisory reports and close the feedback loop with advisors on activity, productivity, and loggingu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003ePartner with RIA Managing Directors on advisor coaching opportunities tied to compliance standardsu003c/liu003enu003c/ulu003enu003cpu003eu003cstrongu003eThe Ideal Matchu003c/strongu003eu003c/pu003enu003culu003enu003cli class="whitespace-normal break-words pl-2"u003e5+ years of financial services experience in a compliance or supervisory role, with demonstrated experience conducting principal-level or OSJ supervisory reviewu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eActive Series 66 and Series 24 in good standingu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eComprehensive knowledge of FINRA and SEC rules and regulationsu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eHigh attention to detail, sound judgment, and integrity when handling sensitive or escalated mattersu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eBachelor's degree or higheru003c/liu003enu003c/ulu003enu003cp class="font-claude-response-body break-words whitespace-normal leading-[1.7]"u003eu003cstrongu003eBonus Pointsu003c/strongu003eu003c/pu003enu003cul class="[li_u0026amp;]:mb-0 [li_u0026amp;]:mt-1 [li_u0026amp;]:gap-1 [u0026amp;:not(:last-child)_ul]:pb-1 [u0026amp;:not(:last-child)_ol]:pb-1 list-disc flex flex-col gap-1 pl-8 mb-3"u003enu003cli class="whitespace-normal break-words pl-2"u003eSeries 7 and Series 9/10 previously held or currently activeu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eExperience supporting regulatory examinations or internal audits at an RIA or broker-dealeru003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eFamiliarity with compliance technology platforms and surveillance toolsu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eBackground in a regulated financial services environment with OSJ or branch examination experienceu003c/liu003enu003cli class="whitespace-normal break-words pl-2"u003eTrack record working with distributed or remote advisor teamsu003c/liu003enu003c/ulu003enu003cpu003eu003cstrongu003ePlease note: u003c/strongu003eSome regional travel is required (~30%) and working hours may vary depending on the region you support.u003cstrongu003eu003cbru003eu003cbru003eWhy Join Usu0026nbsp;u003c/strongu003eu003c/pu003enu003culu003enu003cliu003eCompetitive comp package that rewards impactu003c/liu003enu003cliu003eWork alongside some of the brightest minds in fintechu003c/liu003enu003cliu003eGround-floor opportunity at a fast-scaling startupu003c/liu003enu003cliu003eChart your own growth path as we expandu003c/liu003enu003cliu003eFull health benefits + 401(k) matching u0026amp; Roth IRA optionsu003c/liu003enu003cliu003eUnlimited PTOu003c/liu003enu003c/ulu003enu003cpu003eu003cstrongu003eReady to disrupt wealth management? Let's talk!u003c/strongu003eu003c/pu003e

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FAQs About Senior Regional Compliance Associate Jobs at Farther Finance

What is the work location for this position at Farther Finance?

This job at Farther Finance is located in Hybrid - Irving, TX, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.

What pay range can candidates expect for this role at Farther Finance?

Employer has not shared pay details for this role.

What employment applies to this position at Farther Finance?

Farther Finance lists this role as a Full-time position.

What experience level is required for this role at Farther Finance?

Farther Finance is looking for a candidate with "Senior-level" experience level.

What benefits are offered by Farther Finance for this role?

Farther Finance offers following benefits: Health Insurance, Flexible/Unlimited PTO, and 401k Matching/Retirement Savings for this position. Actual benefits may vary depending on the employer's policies and employment terms.

What is the process to apply for this position at Farther Finance?

You can apply for this role at Farther Finance either through Sonara's automated application system, which helps you submit applications 10X faster with minimal effort, or by applying manually using the direct link on the job page.