Compliance Associate – Supervision Track

Compliance Associate – Supervision Track

Austin, TX (Hybrid) | $62K–$65K base + bonus | Full Benefits + 401(k)

We’ve partnered with a leading independent financial services firm that supports financial advisors and their clients nationwide. The company is known for its modern technology, collaborative culture, and strong focus on professional growth.

They’re looking for a Compliance Associate to join their Supervision Division
—a group responsible for ensuring advisors and the firm meet regulatory and ethical standards.

This is a career‑building role designed for someone early in their compliance journey who wants to become a future Supervisory Principal
. You’ll start by helping with supervision and reporting tasks that don’t require a license, while the firm sponsors your SIE and Series 7 as you learn the ropes.

If you’re detail‑oriented, strong in Excel, and interested in how compliance and supervision keep the financial industry running safely and ethically, this is a great opportunity to grow your career.

• Support the Supervision team with daily oversight, documentation, and compliance tasks.
• Review advisor email communications through the Smarsh platform and help manage user access and billing.
• Track and update supervision review queues, troubleshoot issues, and generate review reports.
• Assist with administrative reviews like gifts and gratuities logs, check/securities blotters, and client report validations.
• Maintain department metrics, audit logs, and quarterly oversight reports.
• Collaborate with Compliance, Legal, and Technology teams to resolve data and reporting requests.
• Participate in departmental testing and improvement projects.

• Bachelor’s degree in Finance, Business, or related field preferred.
• 1+ year of experience in financial services, operations, or compliance.
• SIE or Series 7 preferred (or willingness to obtain – firm will sponsor).
• Proficiency in Microsoft Excel (formulas, data tracking, and reporting).
• Comfortable with technology and learning new compliance tools.
• Strong attention to detail, organization, and communication.
• Team‑player mindset with a desire to grow into a leadership path in supervision.

• Structured career development path into licensed supervision.
• Sponsorship and support for FINRA licensing and continued education.
• Hybrid schedule (in‑office with remote Fridays).
• Full benefits package – health, vision, dental, 401(k), and optional plans.
• Collaborative, mentorship‑driven team culture with real growth opportunities.

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 at