Remote Compliance Analyst – Investment Advisory

49 Financial; Austin (TX); Hybrid; USD 65,000 - 95,000; Full time

Benefits offered by this job

Medical coverage

Dental coverage

Vision coverage

401k plan with match

Life/AD&D coverage

Disability insurance

HSA contribution

FSA/Dependent Care

Unlimited PTO

Job summary

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

Qualifications

• 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.

Responsibilities

• 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.

Skills

Analytical thinking

Attention to detail

Communication skills

Independent worker

Education

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

Tools

Microsoft Excel

Form ADV knowledge

SEC regulatory knowledge

Job description

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