Compliance Analyst
FartherCompany Description
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
As our Compliance Analyst, you'll work directly with the Chief Compliance Officer to build and maintain a robust compliance framework that enables growth while ensuring proper risk management. This hybrid role combines the precision of compliance oversight with the dynamism of a fast-moving fintech environment. You'll be the bridge between our advisors and regulatory requirements, helping build compliant, efficient, and successful practices.
Your Impact
Oversight & Compliance:
- Drive first-line supervisory responsibilities including trading oversight, outside business activities, and registration management
- Build and maintain strong relationships with advisors as their primary compliance resource and guide
- Monitor and analyze reports from SMARSH and SMARTRIA to ensure ongoing compliance
- Conduct periodic office visits and participate in mock audits to strengthen supervisory practices
- Investigate suspicious patterns and conduct thorough reviews when needed
- Develop and deliver targeted training programs based on advisor needs and regulatory changes
- Review transaction blotters and office activities to maintain compliance standards
Business Growth & Development:
- Partner with recruiting to vet potential advisor candidates
- Manage compliance system onboarding for new associates
- Maintain accurate ADV documentation and compliance program enrollment
- Support the development of scalable compliance solutions that enable business growth
- Evaluate and advocate for process improvements that enhance service delivery
The Ideal Match
- 3+ years of supervisory experience in financial services
- Bachelor's degree
- Deep knowledge of financial products including mutual funds, annuities, and general securities
- Entrepreneurial mindset with strong problem-solving abilities
- Outstanding communication skills and relationship-building capacity
- Ability to adapt quickly in a fast-paced environment
- Track record of developing practical compliance solutions
Bonus Points
- Series 66 or 65 registration
- Additional FINRA registrations
- Experience with SMARSH, SMARTRIA, or similar compliance systems
- Background in fintech or digital-first financial services
- Project management experience
- Knowledge of emerging wealth management technologies
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