Compliance Analyst (Austin)

Compliance Analyst – Registered Investment Advisory Firm (RIA) Pay: $65,000 – $80,000 per year ---------------------------------------------------------------------------------------------------------- Who We Are Per Stirling Capital Management is an award-winning, SEC-registered investment advisory firm providing holistic financial planning and comprehensive wealth management services. We are known for our high standards, white-glove service, and a team culture that is collaborative, fun, and intellectually curious. As we continue to grow, we’re seeking a Compliance Specialist who wants to build a long-term career in compliance within a respected and expanding RIA. ---------------------------------------------------------------------------------------------------------- The Opportunity This role supports the Chief Compliance Officer and plays an important part in maintaining and enhancing the firm’s compliance program.

You’ll gain hands-on exposure to SEC-registered advisory compliance, risk management, and regulatory oversight while working closely with leadership. Work arrangement: This position is primarily in-person. After one year of service, we offer a progressive hybrid schedule with up to 2 remote days per week. --------------------------------------------------------------------------------------------------------- What You’ll Do · Research and analyze data and prepare compliance-related reports for management · Assist with surveillance of electronic communications for regulatory adherence · Support investigations into potential compliance issues and help escalate or resolve findings · Assist with required compliance reviews (marketing, outside business activities, personal trading, etc.) · Identify errors, inconsistencies, or improper practices and recommend improvements · Assist with onboarding new advisors and employees, ensuring compliance requirements and training are completed · Support annual compliance initiatives, including training and regulatory filings · Assist with compliance risk assessments, SEC exams, policies, procedures, and documentation · Help promote and maintain a strong culture of compliance across the firm · Maintain current knowledge of applicable laws, rules, and regulatory guidance · Follow all firm security, confidentiality, and safeguarding policies --------------------------------------------------------------------------------------------------------- What We’re Looking For We’re looking for someone who is detail-oriented, thoughtful, and proactive—someone who takes pride in doing things the right way.

Core skills and attributes: · Excellent organizational skills and attention to detail · Strong analytical and critical-thinking abilities · Ability to prioritize, manage deadlines, and adapt in a fast-paced environment · High integrity and sound judgment when handling sensitive information · Strong written and verbal communication skills · High emotional intelligence; calm under pressure and collaborative by nature · Ability to work independently while communicating effectively with a team · Proficiency with Microsoft Office --------------------------------------------------------------------------------------------------------- Education & Experience · Bachelor’s degree – preferred (Relevant experience or professional designations may substitute) · 2+ years of compliance experience in financial services (RIA experience strongly preferred) · Series 65 or 66 – preferred (Series 7 and/or 24 a plus) -------------------------------------------------------------------------------------------------------- Benefits & Perks · Competitive salary with growth potential · 401(k) with company matching · Health, dental, and vision insurance · Health Savings Account (HSA) · Paid time off · Professional development assistance & tuition reimbursement · Supportive, team-oriented culture with real career advancement opportunities