Compliance Analyst, Operations (68568)

About Three Strands

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.

Position Summary

The Compliance Analyst, Operations supports the day-to-day compliance operations of three SEC-registered investment advisory firms within Three Strands. This role is responsible for coordinating advisor and employee compliance activities, reviewing marketing and communications materials, maintaining regulatory records, and monitoring compliance requirements and deadlines. Working closely with the Compliance Manager, the position helps ensure accurate documentation, timely completion of compliance activities, and adherence to regulatory requirements and internal policies while supporting efficient and consistent compliance processes across the organization.

Key Responsibilities

Advisor & Employee Compliance

• 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.

Marketing & Advertising Compliance

• 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 escalate potential compliance concerns for further review.

Compliance Operations & Administration

• 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.

Monitoring & Reporting

• 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.

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 Business, Finance, or a related field, or equivalent experience.
• 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.

Work Environment

• Prolonged periods of sitting and working at a computer
• Occasional standing, walking, or lifting up to 20 pounds
• Travel Expectations: 10%

What We Offer

• 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

Compliance & Professional Conduct

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.

Disclaimer

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.  

The above job description is intended to describe the general nature and level of work being performed by individuals in this position. It is not intended to be an exhaustive list of all the exact responsibilities, duties, and skills required. Management reserves the right to modify, add, or remove content, as necessary. Employment is at-will.