Senior Regional Compliance Associate

Farther•Irving, TX

3d•Hybrid

About The Position

Farther 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.

Requirements

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
Bachelor's degree or higher

Nice To Haves

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

Responsibilities

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