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Remote Finra Examiner Jobs (NOW HIRING)

Farther

Senior Regional Compliance Associate

Irving, TX · On-site +1

Comprehensive knowledge of FINRA and SEC rules and regulations * High attention to detail, sound ... branch examination experience * Track record working with distributed or remote advisor teams ...

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Sr. AML Investigator

$100K - $110K/yr

#WeAreTradeStation Remote Position - must reside in Florida, Texas, Illinois, New York, New Jersey ... Deep understanding of AML regulations, security industry typologies and FINRA/SEC compliance

TradeStation

Sr. AML Investigator

$100K - $110K/yr

#WeAreTradeStation Remote Position - must reside in Florida, Texas, Illinois, New York, New Jersey ... Deep understanding of AML regulations, security industry typologies and FINRA/SEC compliance

Equity Trust

Senior Manager, Risk

Westlake, OH · On-site +1

Acts as a key point of contact for regulatory examinations, audits, and inquiries relating to risk ... Remote associates are expected to maintain a safe, secure, and productive work environment with ...

Underdog

Accounting Manager, Regulatory Reporting (FCM)

OR · Remote

$128K - $160K/yr

Support annual PCAOB-registered audits and participate in NFA audits and DSRO examinations ... Experience interacting with NFA, CFTC, FINRA, or SEC exam teams * Experience supporting a Financial ...

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As of Jun 9, 2026, the average yearly pay for remote finra examiner in the United States is $61,362.00, according to ZipRecruiter salary data. Most workers in this role earn between $48,000.00 and $69,500.00 per year, depending on experience, location, and employer.
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Infographic showing various Remote Finra Examiner job openings in the United States as of May 2026, with employment types broken down into 1% Internship, 2% As Needed, 15% Full Time, 81% Part Time, and 1% Nights. Highlights an 87% Physical, 4% Hybrid, and 9% Remote job distribution, with an average salary of $61,362 per year, or $29.5 per hour.
Senior Regional Compliance Associate

Senior Regional Compliance Associate

Farther

Irving, TX • On-site, Remote

Full-time

Medical, Retirement, PTO

Posted 3 days ago

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

Farther is looking for a sharp, detail-oriented compliance professional to join our growing team as a Senior Regional Compliance Associate. In this role, you'll be embedded in one of our geographic regions, serving as the day-to-day compliance resource for a distributed network of advisors. You'll sit within the Compliance function and partner closely with business leadership across the firm to make sure our advisors can focus on what they do best, serving clients, while we keep the guardrails tight.

Your Impact

  • Serve as the primary compliance resource for your 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 across your region
  • Investigate, document, and help resolve client complaints in coordination with the broader Compliance team
  • Support regulatory examinations, internal audits, and ongoing Compliance initiatives
  • Produce regular supervisory reports and close the feedback loop with advisors on activity, productivity, and logging
  • Partner with RIA Managing Directors on advisor coaching opportunities tied to compliance standards

The Ideal Match

  • 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 when handling sensitive or escalated matters
  • Bachelor's degree or higher

Bonus Points

  • 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

Please note: Some regional travel is required (~30%) and working hours may vary depending on the region you support.
Why Join Us

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

Ready to disrupt wealth management? Let's talk!

Farther logo

About Farther

Sourced by ZipRecruiter

Farther is a new kind of financial institution: combining expert advisors and cutting-edge technology to deliver a comprehensive, tailored wealth management experience. Farther empowers advisors to deliver exceptional value to their clients -- on their own terms. We're here to help established advisors scale, providing everything they need to succeed from technology to client support and from marketing to mentoring. To deliver on that goal, we've reimagined what a wealth management platform delivers, allowing clients to easily find a financial advisor and communicate how and when they want, to customize, invest, and professionally manage their entire financial lives in one place, and to automatically squeeze more out of every hard-earned dollar to reduce their tax bills. In other words, we help our clients go Farther. Farther's founders are leaders and innovators from the private wealth industry and possess a unique mix 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 and builders who are passionate about helping our 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 go farther with you.

Industry

Finance and insurance

Company size

51 - 200 Employees

Headquarters location

New York, NY, US

Year founded

2019

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