Compliance Analyst (Austin)

Compliance Analyst – Registered Investment Advisory Firm (RIA)

Pay: $65,000 – $80,000 per year

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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.

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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.

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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

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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

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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)

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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