New

Marketing Compliance Associate

Hybrid - Irving, TX

Company 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 

The Marketing Compliance Associate will ensure that all marketing and advertising materials adhere to legal and regulatory requirements, protecting both the company and its clients. This role will involve reviewing advisor and product materials, providing guidance, and staying up-to-date on relevant laws and industry best practices.

Your Impact 

  • Examine marketing materials, such as presentations, websites, and social media, to ensure they are accurate, truthful, and compliant with regulations.
  • Offer support and advice to sales and marketing teams on how to create compliant materials.
  • Help create and maintain internal policies and procedures related to marketing compliance.
  • Identify potential compliance risks associated with marketing activities and implement strategies to mitigate them.
  • Monitor changes in regulations and industry best practices to ensure continuous compliance.
  • Collaborate closely with legal, compliance, and product teams to ensure a consistent approach to marketing compliance.
  • Maintain records of all approved and reviewed marketing materials.

The Ideal Match 

  • Experience in financial compliance is required.
  • Deep knowledge of relevant laws and regulations governing financial products and marketing, including SEC and FINRA rules.
  • Familiarity with financial products and services such as investment products, insurance products, and financial planning services.
  • The ability to analyze marketing materials and identify potential compliance issues.
  • Meticulous attention to detail to ensure accuracy in all reviewed materials.
  • The ability to communicate compliance requirements clearly and build relationships with various stakeholders as a trusted collaborator.

Bonus Points 

  • Ability to act as a confident and trusted resource, building consensus and fostering stakeholder buy-in.
  • More than just a decision-maker, you're a transparent collaborator who can explain the rationale behind compliance decisions.
  • Possession of the Series 63, 65, 7, 24, or 53 licenses, or a willingness to acquire one or more, is a plus!

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!

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