Compliance Analyst, Investment Advisory (68569)

49 Financial; Austin (TX); Híbrido; USD 65.000 - 95.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Medical coverage

Dental coverage

Vision coverage

401k plan with match

Life/AD&D coverage

Disability insurance

HSA contribution

FSA/Dependent Care

Unlimited PTO

Descripción de la vacante

Three Strands Group is seeking an Experienced Compliance Analyst, Investment Advisory, to support regulatory compliance programs across three SEC-registered investment advisers. This role emphasizes monitoring, testing, and risk assessment within a fast-paced financial services environment.

You will work with the Regulatory Compliance Lead and Chief Compliance Officer to ensure adherence to applicable laws, regulations, and internal policies, while coordinating with advisory teams and external

Formación

• Bachelor’s degree in Finance, Business Administration, Compliance, or related field.
• 2–4 years in financial services compliance or investment advisory operations.
• Strong analytical and organizational skills with attention to detail.
• Ability to identify compliance risks and communicate findings.
• Familiarity with Form ADV and SEC recordkeeping requirements.

Responsabilidades

• Conduct ongoing compliance testing and monitoring across the three advisory firms.
• Assist in annual compliance reviews and firm-specific risk assessments.
• Review advisory accounts for compliance with objectives, client agreements, and policies.
• Perform testing of advisory fee billing, trading activity, and other investment-related processes.
• Track corrective actions and assist with remediation.
• Support due diligence of investment products and oversight of managers and platforms.

Conocimientos

Analytical thinking

Attention to detail

Communication skills

Independent worker

Educación

Bachelor's degree in Finance, Business Administration, Compliance, or a related field

Herramientas

Microsoft Excel

Form ADV knowledge

SEC regulatory knowledge

Descripción del empleo

Job Details: Level: Experienced, Job Location: US Remote - Austin, TX, Salary Range: Undisclosed, About Three Strands

Three Strands Group is the portfolio company that houses 49 Financial, The Collective, and Alongside. It serves as the shared services organization for the portfolio, providing the operational foundation that supports each business across the platform. By centralizing key business functions, Three Strands Group creates consistency, drives operational excellence, and enables each organization to focus on serving its clients while benefiting from the strength and efficiency of a shared infrastructure.

Position Summary

The Compliance Analyst, Investment Advisory, supports the regulatory compliance programs of three SEC-registered investment advisory firms operating under the Three Strands entity. This role is responsible for compliance monitoring, regulatory testing, investment advisory oversight, and identifying and addressing potential regulatory risks. Working closely with the Regulatory Compliance Lead and Chief Compliance Officer, the Compliance Analyst helps ensure compliance programs remain effective and aligned with applicable regulatory requirements and internal policies.

Key Responsibilities

Regulatory Compliance & Testing

• Conduct ongoing compliance testing and monitoring across all three advisory firms.
• Assist in performing annual compliance reviews and firm-specific risk assessments.
• Review advisory accounts for compliance with investment objectives, client agreements, and firm policies.
• Perform periodic testing of advisory fee billing, trading activity, and other investment-related processes.
• Identify, document, and elevate potential compliance exceptions or deficiencies.
• Track corrective actions and assist with remediation efforts.

Investment & Product Compliance

• Assist with due diligence and compliance reviews of investment products, including alternative investments and private funds.
• Review investment-related disclosures and documentation for consistency with regulatory requirements.
• Support oversight of investment managers, subadvisors, and third‑party investment platforms.
• Assist in identifying and evaluating potential conflicts of interest related to investment recommendations, compensation arrangements, and business relationships.

Regulatory Administration & Reporting

• Support the preparation and maintenance of Form ADV and other regulatory disclosures.
• Assist with SEC examinations, regulatory inquiries, and related document requests.
• Maintain accurate compliance testing records and supporting documentation.
• Assist in developing and updating compliance policies and procedures.
• Prepare periodic compliance testing summaries and reports for department leadership.

Core Competencies

• Alignment with The Collective’s values and culture
• Professionalism, integrity, and discretion in all interactions
• Accountability for execution, outcomes, and follow-through
• Strong organizational and time‑management skills
• Clear, professional written and verbal communication
• Ability to work independently while contributing effectively in a collaborative team environment
• Sound judgment and the ability to maintain confidentiality
• Adherence to company policies, procedures, and applicable laws and regulations
• Attention to detail and commitment to quality and accuracy

Qualifications

• Bachelor's degree in Finance, Business Administration, Compliance, or a related field.
• 2 – 4 years of experience in financial services compliance, investment advisory operations, or a related field.
• General knowledge of SEC‑registered investment advisers and regulatory requirements. Prefer direct experience.
• Strong analytical, organizational, and problem‑solving skills with attention to detail.
• Ability to identify compliance risks, communicate findings, and manage multiple priorities independently.
• Proficiency in Microsoft Office, particularly Excel.
• Prefer familiarity with Form ADV, compliance testing, advisory fees, and SEC recordkeeping requirements.
• Prefer experience with investment advisory accounts, alternative investments, or compliance management systems.
• Preferred experience with Custodian Platforms and Account Aggregation Systems. like BlackDiamond.

Work Environment

• Prolonged periods of sitting and working at a computer
• Occasional standing, walking, or lifting up to 20 pounds
• Travel Expectations: 10%

What We Offer

• Medical – 4 levels of coverage to choose from with employer contribution
• Dental – 2 levels of coverage to choose from
• Vision – 2 levels of coverage to choose from
• 401k plan and match
• Basic Life/AD&D coverage for all full‑time employees at no cost (with options to purchase additional coverage)
• Short‑Term Disability coverage for all full‑time employees at no cost
• Long‑Term Disability coverage
• HSA contribution match
• FSA/Dependent Care
• Unlimited PTO

Compliance & Professional Conduct

Employees in this role are expected to comply with all company policies, including the Code of Conduct, confidentiality requirements, Employee Handbook, and all applicable federal, state, and local laws and regulations relevant to the role and the financial services industry.

Disclaimer

Three Strands is an equal opportunity employer committed to fostering a diverse and inclusive workplace, free from discrimination and harassment. We do not discriminate on the basis of race, color, religion, sex, gender identity, sexual orientation, national origin, age, marital status, veteran status, disability, or any other protected status. We value diversity of thought and background and strive to create an environment where all employees are respected and provided with opportunities to succeed. We encourage individuals of all backgrounds to apply for employment opportunities with us.

The above job description is intended to describe the general nature and level of work being performed by individuals in this position. It is not intended to be an exhaustive list of all the exact responsibilities, duties, and skills required. Management reserves the right to modify, add, or remove content, as necessary. Employment is at‑will.