Farther is a rapidly growing RIA that combines expert advisors with cutting-edge technology - delivering a comprehensive, tailored wealth management experience.
Farther’s founders are leaders and innovators from the private wealth industry who possess a unique blend of traditional wealth management, fintech, and technology production expertise. We’re backed by top-tier venture capital firms, fintech investors, and industry leaders.
Joining Farther means joining a collaborative team of entrepreneurs who are passionate about helping their clients and our teammates achieve more. If you’re the type who breaks through walls to get things done the right way, we want to build the future of wealth management with you.
The Role
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.
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 RIA 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.
Why Join Us
- Competitive comp package that rewards impact
- Work alongside some of the brightest minds in fintech
- Ground-floor opportunity at a fast-scaling startup
- Chart your own growth path as we expand
- Full health benefits + 401(k) matching & Roth IRA options
- Unlimited PTO
Ready to disrupt wealth management? Let's talk!
Skills Required
- 5+ years of financial services experience in a compliance or supervisory role
- Active Series 66 and Series 24 in good standing
- Comprehensive knowledge of FINRA and SEC rules and regulations
- Bachelor's degree or higher
Farther Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Farther and has not been reviewed or approved by Farther.
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Strong & Reliable Incentives — Advisor compensation includes a transparent, higher‑payout grid and equity participation that can deliver strong upside for producers. The design emphasizes meaningful rewards as production grows.
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Healthcare Strength — Medical coverage via a major national carrier with multiple plan options, HSA/FSA contributions, and complimentary primary‑care access signal comprehensive healthcare support. Dental and vision coverage round out the core offering.
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Retirement Support — A 401(k) with company match that vests immediately, alongside traditional, Roth, and after‑tax options, enables advanced retirement saving strategies. Administration via Empower supports accessibility.
Farther Insights
What We Do
Farther is the intelligent wealth management firm that's redefining the industry by combining proprietary technology with expert financial advisor guidance. We're building a generational financial institution that empowers advisors to focus on what matters most - they're clients and growing their business - while our all-in-one platform handles the back-office complexity. Our comprehensive wealth management platform offers clients a unified view of their entire financial lives through a single login, while advisors gain access to advanced tools for building personalized, tax-optimized portfolios. We provide access to extensive public strategies and alternative investments, plus our own Farther Asset Management products alongside offerings from BlackRock, Vanguard, and Fidelity. Named the #1 fastest-growing financial services firm in America by Inc. Magazine with 11,968% revenue growth over three years, we've achieved over $13 billion in recruited assets and are backed by $118M in funding, including a Series C led by CapitalG (Google's growth fund). With 400+ employees across offices in New York, Dallas, and San Francisco, we're scaling rapidly while maintaining our commitment to innovation and excellence.
Why Work With Us
We're building a generational financial institution and a mission-driven team through our CARE values: Communication, Action, Respect, and Excellence. Named to Inc. Best Workplaces two years running, we offer comprehensive benefits like $0 health coverage, immediate 3% 401(k), unlimited PTO, and quarterly recognition programs.
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