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About the Role

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.

Responsibilities

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 escalate potential compliance exceptions or deficiencies.
Track corrective actions and assist with remediation efforts.
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.
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.
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.

Requirements

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.
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.
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.

Skills

Professionalism
Integrity
Discretion
Accountability
Organizational skills
Time-management skills
Clear, professional written and verbal communication
Ability to work independently
Ability to contribute effectively in a collaborative team environment
Sound judgment
Ability to maintain confidentiality
Attention to detail
Commitment to quality and accuracy
Microsoft Office
Excel
Form ADV
Compliance testing
Advisory fees
SEC recordkeeping requirements
Investment advisory accounts
Alternative investments
Compliance management systems
Custodian Platforms
Account Aggregation Systems
BlackDiamond

Location

US Remote - Austin, TX

Work Type

Remote
Full-time

Experience Level

Experienced

Education Level

Bachelor's degree

Salary/Compensations

Undisclosed

Benefits

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

About the Company

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.

Equal Opportunity

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.