What are the responsibilities and job description for the Compliance Analyst position at Farther?
Job Description
Job Description
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
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 :
The Ideal Match
Bonus Points
Why Join Us
Ready to disrupt wealth management? Let's talk!
