Compliance Analyst, Investment Advisory

IntagHire; United States; Remote; USD 90,000 - 120,000; Full time

Job summary

IntagHire is seeking a detail-oriented Compliance Analyst for Investment Advisory to support regulatory compliance programs across three SEC-registered RIAs. You will partner with the Regulatory Compliance Lead and CCO to monitor, test, advise, and mitigate risk.

Responsibilities include onboarding, registrations, licensing maintenance, tracking training, and coordinating compliance calendars and filings while ensuring audit-ready records and timely reporting across multiple entities.

Qualifications

• Education: Bachelor’s degree in Finance, Business Administration, Legal Studies, or related field (or equivalent).
• Experience: 2–4 years in financial services compliance, risk management, or related wealth management administration.
• Industry Knowledge: Familiarity with RIA operations, SEC regulations (Investment Advisers Act of 1940).
• Technical Skills: Proficiency in Microsoft Office; comfort with compliance software (e.g., ComplySci, MyComplianceOffice, Smarsh, FINRA Gateway/IARD).
• Adaptability: Ability to manage multiple priorities across entities.

Responsibilities

• Support advisor lifecycle events including onboarding, registrations, licensing maintenance, and terminations.
• Monitor employee compliance obligations: personal securities, code of ethics, annual disclosures, OBAs, gifts & entertainment.
• Track training, attestations, and follow up on action items.
• Provide guidance for routine compliance questions and escalate when needed.
• Review advisor marketing collateral for SEC and internal guidelines.

Skills

Integrity & discretion

Accountability & execution

Effective communication

Collaborative mindset

Meticulous attention to detail

Education

Bachelor’s degree

Tools

ComplySci

MyComplianceOffice

Smarsh

FINRA Gateway/IARD

Job description

Job Title: Compliance Analyst, Investment Advisory

Department: Legal & Regulatory Compliance

Employment Type: Full-Time

Location: Remote in US (or Hybrid - if located in Austin, TX)

Travel: Approximately 10%

About Our Client

Our client is a multi-firm financial services platform and shared-services portfolio company dedicated to supporting rapid growth across its partner wealth management and financial advisory businesses. By centralizing essential corporate functions—ranging from operations and technology to legal, risk management, and compliance—our client delivers an institutional-grade operational backbone. This infrastructure ensures standard-setting consistency, operational excellence, and scalable support, allowing each individual firm under the umbrella to remain focused on delivering exceptional client service.

Position Summary

Our client is seeking a detail-oriented, proactive Compliance Analyst, Investment Advisory to support the comprehensive regulatory compliance programs across three SEC-registered investment advisory (RIA) firms operating within the platform.

Reporting directly to the Regulatory Compliance Lead and working in close alignment with the Chief Compliance Officer (CCO), this role plays an essential part in day-to-day compliance monitoring, testing, advisory oversight, and risk mitigation. The ideal candidate will help maintain robust, effective compliance architectures that adhere to federal regulations and internal governance standards across multiple dynamic advisory businesses.

Key Responsibilities

Advisor & Employee Compliance

• Support advisor lifecycle events, including onboarding, state/SEC registrations, licensing maintenance, and terminations.
• Monitor and administer employee compliance obligations, including personal securities transactions, code of ethics acknowledgments, annual disclosure certifications, outside business activities (OBAs), and gifts and entertainment tracking.
• Track mandatory employee compliance training modules, annual attestations, and follow up on outstanding action items.
• Serve as an accessible, responsive point of contact for routine advisor compliance questions, providing clear guidance and coordinating escalations when necessary.

Marketing & Advertising Compliance

• Conduct initial reviews of advisor marketing collateral, website copy, pitch books, presentation materials, and social media content for compliance with SEC marketing rules and internal guidelines.
• Maintain complete, audit-ready records of all marketing submissions, review trails, approvals, and supporting documentation.
• Partner with advisors to guide necessary copy/disclosure revisions, proactively identifying and escalating complex regulatory considerations.

Compliance Operations & Administration

• Own and manage compliance calendars to ensure strict adherence to recurring regulatory deadlines and internal milestones.
• Assist with regulatory filings (e.g., Form ADV amendments, Form CRS updates), books and records retention schedules, vendor due diligence evaluations, and compliance documentation.
• Coordinate schedule distribution for firm-wide compliance training, internal policy broadcasts, and periodic committee reporting.
• Identify workflow bottlenecks and propose automation or operational improvements to scale tracking mechanisms across multiple entities.

Monitoring, Testing & Reporting

• Conduct routine surveillance and monitoring of key operational workflows across all three RIA entities.
• Identify, document, and remediate compliance exceptions, process deficiencies, and overdue remediation items.
• Maintain clean supervisory logs and audit trails detailing regular compliance reviews.
• Assist in drafting compliance summaries for executive leadership, internal risk committees, and third-party or regulatory examinations.

Core Competencies

• Integrity & Discretion: High ethical standards, sound personal judgment, and unwavering commitment to handling sensitive, confidential information.
• Accountability & Execution: A strong sense of ownership with the ability to manage competing deadlines and deliver accurate, end-to-end follow-through.
• Effective Communication: Ability to translate complex regulatory concepts into actionable, professional advice across written and verbal channels.
• Collaborative Mindset: Capable of operating independently while integrating seamlessly into a cross-functional, shared-services team structure.
• Meticulous Attention to Detail: Consistent precision in reviewing documents, maintaining records, and tracking regulatory data.

Qualifications

• Education: Bachelor’s degree in Finance, Business Administration, Legal Studies, or a related field (or equivalent practical experience).
• Experience: 2-4 years of experience in financial services compliance, risk management, legal operations, or related wealth management administration.
• Industry Knowledge: Familiarity with RIA operations, SEC regulations (Investment Advisers Act of 1940), broker-dealer environments, or financial advisor onboarding/licensing is strongly preferred.
• Technical Skills: Proficiency in the Microsoft Office Suite (Excel, Word, PowerPoint, Outlook); comfort navigating or learning specialized compliance software/platforms (e.g., ComplySci, MyComplianceOffice, Smarsh, FINRA Gateway/IARD).
• Adaptability: Demonstrated ability to organize multiple priorities across different operating entities simultaneously.

Physical Requirements & Working Conditions

• Prolonged periods of sitting or working at a desk using a computer.
• Occasional light movement, such as walking, standing, or lifting up to 20 pounds.
• Ability to travel up to 10% as needed for team off-sites, cross-office meetings, or regulatory reviews.