# Senior Regional Compliance Associate

**Company:** [Farther Finance](https://hotfix.jobs/companies/farther-finance)
**Location:** Irving, TX
**Role:** Legal
**Experience:** 5+ years
**Skills:** Finra, Sec, Series 66, Series 24, Series 7, Series 9/10, Osj Supervisory Review, Compliance Technology, Surveillance Tools, Trade Blotters
**Posted:** 2026-05-06

> Serves as day-to-day compliance resource for regional advisors, reviewing trades, correspondence, marketing, and activities while providing guidance and supporting audits. Requires 5+ years compliance/supervisory experience, Series 66/24 licenses, and FINRA/SEC knowledge.

## Job Description

## Responsibilities
- Serve as the primary compliance resource for 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
- Investigate, document, and help resolve client complaints
- Support regulatory examinations, internal audits, and ongoing Compliance initiatives
- Produce regular supervisory reports and close feedback loop with advisors
- Partner with Managing Directors on advisor coaching opportunities tied to compliance standards

## Requirements
- 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
- Bachelor's degree or higher

## Nice-to-Haves
- 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

## Compensation & Benefits
- Competitive comp package that rewards impact
- Full health benefits + 401(k) matching & Roth IRA options
- Unlimited PTO

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