Remote Compliance Analyst - Financial Services

49 Financial; Austin (TX); Hybrid; USD 75.000 - 90.000; Vollzeit

Benefits dieser Stelle

Medical – 4 levels of coverage to pick

Dental – 2 levels of coverage

Vision – 2 levels of coverage

401k plan and match

Life/AD&D coverage

Short-Term Disability

Long-Term Disability

HSA match

FSA/Dependent Care

Unlimited PTO

Zusammenfassung

Three Strands is hiring a Compliance Analyst, Operations to support day-to-day compliance operations across three SEC-registered investment advisory firms within the organization.

You will coordinate advisor and employee compliance activities, review marketing materials, maintain regulatory records, and monitor deadlines to ensure accurate documentation and timely compliance across the enterprise.

Qualifikationen

• Bachelor's degree in Business, Finance, or related field.
• 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.
• Experience with an RIA, broker-dealer, or regulated financial services organization preferred.
• Familiarity with advisor registration, regulatory filings, compliance monitoring, and related systems preferred.

Aufgaben

• 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 elevate 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.
• Internal archive Communication 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.

Kenntnisse

Regulatory compliance

Document review

Attention to detail

Communication

Ausbildung

Bachelor's degree in Business/Finance

Tools

Microsoft Office

Jobbeschreibung

Three Strands is hiring a Compliance Analyst, Operations to support day-to-day compliance operations across three SEC-registered investment advisory firms within the organization.

You will coordinate advisor and employee compliance activities, review marketing materials, maintain regulatory records, and monitor deadlines to ensure accurate documentation and timely compliance across the enterprise.