Hiring: Director of Compliance Company: Farther Location: Miami, FL Job Posted Time: 2026-09-10 11:36:03 Target Skills & Keywords : CFA, Notion, Series 24, Series 7, Wealth Management About the job Experience: •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). Required Skills: •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. •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. Qualifications: •FINRA Series 7 or Series 24 license. •CFA designation or candidate status. •Operational 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. Compensation: •Full health benefits + 401(k) matching & Roth IRA options Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!