New

Director of Compliance

Hybrid - New York, NY; Dallas, Texas; or Miami, FL

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

Farther Asset Management (FAM) is a $3 billion and growing registered investment adviser operating its own dedicated compliance program. As Director of Compliance, you will own and administer that program end-to-end — from policy and oversight to day-to-day regulatory guidance — while serving as the firm's primary authority on marketing compliance. You will partner closely with our marketing and investment teams to review, approve, and shape content created for both professional and retail audiences, ensuring everything FAM puts into the market meets the highest regulatory standard. This is a high-visibility role reporting to the CCO, with meaningful influence over how a fast-scaling asset manager presents itself to the world.

Your Impact

  • Own and administer the full compliance program for Farther Asset Management, including policy development, ongoing monitoring, and regulatory reporting.
  • Lead the review and approval of institutional and retail marketing materials — including performance figures, pitch books, DDQs, and RFPs — applying SEC Rule 206(4)-1 and related guidance.
  • Serve as a strategic partner to the marketing team, advising on regulatory requirements early in the content creation process rather than at the end.
  • Analyze evolving marketing and distribution rules to assess the commerciality and regulatory soundness of messaging destined for both professional and general-public audiences.
  • Communicate compliance requirements clearly and confidently to stakeholders at all levels, from investment professionals to senior leadership.
  • Review and provide guidance on client communications, due diligence questionnaires, and requests for proposal across a range of strategies and products.

The Ideal Match

  • 8+ years of compliance experience within the asset management space — specifically with an SEC Registered Investment Adviser managing pooled vehicles, SMAs, or similar strategies.
  • 5+ years of hands-on marketing compliance review experience, including a minimum of 3 years applying SEC Rule 206(4)-1 (the Marketing Rule).
  • Demonstrated expertise in reviewing materials for both professional/institutional and retail audiences, with a clear understanding of the regulatory distinctions between the two.
  • Series 65 license required; strong organizational skills and meticulous attention to detail.
  • Strong communicator who can translate regulatory complexity into clear, actionable guidance for non-compliance audiences.

Bonus Points

  • FINRA Series 7 or Series 24 license.
  • CFA designation or candidate status.
  • Familiarity with Notion and/or Marq for compliance workflow and content review.
  • Prior experience at or alongside a firm running a standalone asset management compliance program separate from an adviser LLC structure.

Why Join Us

  • Competitive comp package that rewards impact.
  • Work alongside some of the brightest minds in fintech and wealth management.
  • Ground-floor opportunity at a fast-scaling, venture-backed startup.
  • Chart your own growth path as FAM scales.
  • Full health benefits + 401(k) matching & Roth IRA options.
  • Unlimited PTO.

Ready to disrupt wealth management? Let's talk!

 

Create a Job Alert

Interested in building your career at Farther? Get future opportunities sent straight to your email.

Apply for this job

*

indicates a required field

Resume/CV*

Accepted file types: pdf, doc, docx, txt, rtf

Cover Letter

Accepted file types: pdf, doc, docx, txt, rtf

Select...
Select...

Voluntary Self-Identification

For government reporting purposes, we ask candidates to respond to the below self-identification survey. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

As set forth in Farther’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.

Select...
Select...
Race & Ethnicity Definitions

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.

Select...

Voluntary Self-Identification of Disability

Form CC-305
Page 1 of 1
OMB Control Number 1250-0005
Expires 04/30/2026

Why are you being asked to complete this form?

We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.

Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

How do you know if you have a disability?

A disability is a condition that substantially limits one or more of your “major life activities.” If you have or have ever had such a condition, you are a person with a disability. Disabilities include, but are not limited to:

  • Alcohol or other substance use disorder (not currently using drugs illegally)
  • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, HIV/AIDS
  • Blind or low vision
  • Cancer (past or present)
  • Cardiovascular or heart disease
  • Celiac disease
  • Cerebral palsy
  • Deaf or serious difficulty hearing
  • Diabetes
  • Disfigurement, for example, disfigurement caused by burns, wounds, accidents, or congenital disorders
  • Epilepsy or other seizure disorder
  • Gastrointestinal disorders, for example, Crohn's Disease, irritable bowel syndrome
  • Intellectual or developmental disability
  • Mental health conditions, for example, depression, bipolar disorder, anxiety disorder, schizophrenia, PTSD
  • Missing limbs or partially missing limbs
  • Mobility impairment, benefiting from the use of a wheelchair, scooter, walker, leg brace(s) and/or other supports
  • Nervous system condition, for example, migraine headaches, Parkinson’s disease, multiple sclerosis (MS)
  • Neurodivergence, for example, attention-deficit/hyperactivity disorder (ADHD), autism spectrum disorder, dyslexia, dyspraxia, other learning disabilities
  • Partial or complete paralysis (any cause)
  • Pulmonary or respiratory conditions, for example, tuberculosis, asthma, emphysema
  • Short stature (dwarfism)
  • Traumatic brain injury
Select...

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.