The RoleFarther 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.
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
- Bachelor's 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.
