Director of Compliance

Father Gabriel Richard High School - Ann Arbor, Michigan

Director of Compliance overseeing compliance program for Farther Asset Management. Leading regulatory guidance, marketing compliance, and stakeholder communication.

Posted 4/26/2026full-timeFlorida, New York, Texas • 🇺🇸 United StatesLeadWebsite

About the role

Key responsibilities & 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.

Requirements

What you’ll need

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.

Benefits

Comp & perks

Full health benefits + 401(k) matching & Roth IRA options
Unlimited PTO

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance program administrationregulatory reportingmarketing compliance reviewSEC Rule 206(4)-1due diligence questionnairesrequests for proposalperformance figures analysiscontent creation complianceregulatory analysis

Soft Skills

strong communicatororganizational skillsattention to detailstrategic partnershipstakeholder communicationadvisory skills

Certifications

Series 65 license