Director of Compliance

Farther•Miami, FL

21h

About The Position

Farther Asset Management (FAM) is a $3 billion and growing registered investment adviser operating its own dedicated compliance program. As Director of Compliance, you will own and administer that program end-to-end — from policy and oversight to day-to-day regulatory guidance — while serving as the firm's primary authority on marketing compliance. You will partner closely with our marketing and investment teams to review, approve, and shape content created for both professional and retail audiences, ensuring everything FAM puts into the market meets the highest regulatory standard. This is a high-visibility role reporting to the CCO, with meaningful influence over how a fast-scaling asset manager presents itself to the world.

Requirements

8+ years of compliance experience within the asset management space — specifically with an SEC Registered Investment Adviser managing pooled vehicles, SMAs, or similar strategies.
5+ years of hands-on marketing compliance review experience, including a minimum of 3 years applying SEC Rule 206(4)-1 (the Marketing Rule).
Demonstrated expertise in reviewing materials for both professional/institutional and retail audiences, with a clear understanding of the regulatory distinctions between the two.
Series 65 license required; strong organizational skills and meticulous attention to detail.
Strong communicator who can translate regulatory complexity into clear, actionable guidance for non-compliance audiences.

Nice To Haves

FINRA Series 7 or Series 24 license.
CFA designation or candidate status.
Familiarity with Notion and/or Marq for compliance workflow and content review.
Prior experience at or alongside a firm running a standalone asset management compliance program separate from an adviser LLC structure.

Responsibilities

Own and administer the full compliance program for Farther Asset Management, including policy development, ongoing monitoring, and regulatory reporting.
Lead the review and approval of institutional and retail marketing materials — including performance figures, pitch books, DDQs, and RFPs — applying SEC Rule 206(4)-1 and related guidance.
Serve as a strategic partner to the marketing team, advising on regulatory requirements early in the content creation process rather than at the end.
Analyze evolving marketing and distribution rules to assess the commerciality and regulatory soundness of messaging destined for both professional and general-public audiences.
Communicate compliance requirements clearly and confidently to stakeholders at all levels, from investment professionals to senior leadership.
Review and provide guidance on client communications, due diligence questionnaires, and requests for proposal across a range of strategies and products.