Remote Investment Advisory Compliance Specialist

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

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.