Compliance Analyst, Operations

49 Financial•Austin, TX

8d•Remote

About The Position

The Compliance Analyst, Operations supports day-to-day compliance operations for three SEC-registered investment advisory firms within Three Strands. The role coordinates advisor and employee compliance activities, reviews marketing and communications materials, maintains regulatory records, and monitors compliance requirements and deadlines. Working closely with the Compliance Manager, the analyst helps ensure accurate documentation, timely completion of compliance activities, and adherence to regulatory requirements and internal policies while supporting efficient, consistent compliance processes across the organization. The role is remote in the United States, with Austin, Texas listed in the job location. Travel expectations are 10%.

Requirements

Bachelor's degree in Business, Finance, or a related field, or equivalent experience.
2–4 years of experience in financial services, compliance, operations, or a related field.
Strong organizational, communication, and problem-solving skills, with excellent attention to detail.
Ability to manage multiple priorities, maintain accurate records, and handle confidential information.
Proficiency in Microsoft Office and ability to learn new compliance systems.
Professionalism, integrity, discretion, accountability, and sound judgment.
Clear, professional written and verbal communication.
Ability to work independently and contribute effectively in a collaborative team environment.
Commitment to quality, accuracy, and adherence to policies, procedures, and applicable laws and regulations.

Nice To Haves

Experience with an RIA, broker-dealer, or regulated financial services organization.
Familiarity with advisor registration, regulatory filings, compliance monitoring, and related systems.

Responsibilities

Support advisor onboarding, registration, and termination processes.
Monitor employee compliance certifications, disclosures, personal securities transactions, outside business activities, and gifts and entertainment.
Track required compliance training, annual certifications, and outstanding compliance items.
Respond to routine advisor compliance inquiries and coordinate follow-up as needed.
Conduct initial reviews of advisor marketing materials, social media content, presentations, and communications for compliance with firm policies and regulatory requirements.
Maintain accurate records of marketing submissions, approvals, and supporting documentation.
Coordinate necessary revisions with advisors and escalate potential compliance concerns for further review.
Maintain compliance calendars and monitor regulatory and internal deadlines.
Support regulatory filings, books and records retention, vendor due diligence, and compliance documentation.
Coordinate compliance training, employee communications, and periodic reporting.
Identify opportunities to improve compliance processes, workflows, and tracking.
Support internal archive and communications reviews.
Monitor recurring compliance requirements across all three investment advisory firms.
Identify and follow up on compliance deficiencies, exceptions, and overdue items.
Maintain accurate records of compliance activities and supervisory reviews.
Prepare compliance reports for leadership and assist with regulatory examinations and internal reviews.
Comply with company policies, confidentiality requirements, the Employee Handbook, and applicable laws and regulations.

Benefits

Medical coverage with four levels to choose from and an employer contribution.
Dental coverage with two levels to choose from.
Vision coverage with two levels to choose from.
401(k) plan and match.
Basic life and AD&D coverage at no cost for full-time employees, with options to purchase additional coverage.
Short-term disability coverage at no cost for full-time employees.
Long-term disability coverage.
HSA contribution match.
FSA and dependent care benefits.
Unlimited PTO.