[Hiring] Compliance Analyst @49 Financial

Role Description

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 escalate 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%

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