Compliance Analyst
1 day ago
Compliance Analyst (Supervision Track)
Austin, TX (Hybrid) | $62k – $65k base | Growth-focused | Comprehensive benefits
About the Opportunity
We've partnered with a
leading wealth management platform
known for its strong compliance culture, advisor support, and career development programs.
This is an exciting entry point for an
early-career financial professional
who wants to grow into a licensed Supervisory role. You'll begin as a Compliance Analyst supporting daily oversight functions and gradually be sponsored for your
SIE, Series 7, and other licenses
— with coaching and mentorship every step of the way.
What You'll Do
• Review and manage advisor communications through a compliance platform (training provided)
• Assist in monitoring logs, reports, and risk management activities
• Support the Supervision and Compliance teams with documentation, tracking, and reporting
• Help resolve issues related to advisor activity and ensure accurate recordkeeping
• Develop a deep understanding of broker-dealer and RIA operations
• Participate in system administration tasks within the Smarsh email monitoring platform
• Gain exposure to internal audits, testing, and regulatory support projects
What We're Looking For
• 1+ years of experience in financial services, operations, or compliance support
• Strong
Excel skills
(pivot tables, data analysis, reporting)
• Excellent organization and attention to detail
• Curious, analytical, and eager to learn the regulatory side of the business
• SIE or Series 7 preferred (not required – firm will fund and support)
• Bachelor's degree or equivalent experience
• Strong technical aptitude and communication skills
• Comfortable working
onsite in Austin, TX
, with potential remote Fridays after onboarding
Why This Role Stands Out
• Structured
career path into licensed supervision
(full sponsorship)
• Mentorship from senior compliance leaders
• Comprehensive benefits and 401(k) match
• Collaborative, stable, and people-first culture
• Opportunity to learn directly from top performers in the industry
???????MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department
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