Legal and Compliance Specialist

Role Overview

This role sits within the Legal, Compliance & Risk team and serves as a critical first point of contact for legal-related inquiries across the business. The position is responsible for triaging and resolving a high volume of requests - primarily from Operations - by applying judgment, conducting research, and addressing issues that do not require direct attorney involvement.

In addition to intake and triage, this role contributes to cross-functional initiatives focused on risk reduction, regulatory adherence, and support for new products and services. The ideal candidate is a curious, self-directed problem solver who enjoys digging into complex questions and driving them to resolution.

We can consider candidates for this position who are able to accommodate a hybrid work schedule and are close to one of our following offices: Phoenix, AZ or Concord, CA.

Key Responsibilities

Legal Services Intake & Triage

• Co-own and manage the Legal Services inbox, serving as the initial point of contact for legal and compliance-related inquiries
• Triage incoming requests by assessing risk, complexity, and required level of review
• Conduct initial research and resolve matters independently where appropriate, escalating to attorneys when necessary
• Route requests to the appropriate teams and ensure timely follow-through and resolution
• Track, document, and analyze inquiries, outcomes, and trends to improve processes and reduce recurring issues

Process Improvement & Knowledge Management

• Develop and maintain procedures, playbooks, and a centralized knowledge base to streamline intake and resolution processes
• Identify patterns in inquiries and proactively recommend solutions to reduce volume and increase efficiency
• Continuously improve workflows to enhance turnaround times and consistency of responses

Project & Risk Support

• Support and, in some cases, lead Legal, Compliance, and Risk-related projects focused on:
  • Risk reduction and control enhancement
  • Regulatory adherence and policy implementation
  • New product and service launches
• Partner across Legal, Compliance, Risk, and business teams to drive cross-functional initiatives and ensure alignment

Research & Regulatory Support

• Conduct research on regulatory requirements, internal policies, and industry practices
• Support analysis of obligations related to custodians and other third-party relationships
• Research and document error corrections, ensuring appropriate support and audit readiness
• Assist with regulatory updates, including disclosures, client agreements, and forms
• Compile and support responses to legal and regulatory inquiries

Knowledge, Skills & Abilities

• Strong problem-solving mindset with a natural curiosity and desire to understand “why”
• Ability to independently research issues and apply sound judgment in ambiguous situations
• Highly organized with the ability to manage multiple priorities and follow through to resolution
• Strong written and verbal communication skills; able to translate complex topics into clear guidance
• Comfortable operating across functions and coordinating with diverse stakeholders
• Detail-oriented with a focus on accuracy, documentation, and process discipline
• Self-starter with the ability to take ownership and drive work forward with limited direction

• Foundational understanding of legal and compliance concepts within financial services (RIA experience a plus)
• Familiarity with applicable laws and regulations impacting investment advisers
• General understanding of contracts and legal documents (e.g., client agreements, powers of attorney, court orders)

Education & Experience

• Bachelor’s degree required
• Experience in a corporate legal, compliance, risk, or financial services environment preferred

Compensation: The Base Salary range for this position is between $85,000-$95,000.  

This information reflects a base salary range that AssetMark reasonably expects to pay for the position based on a number of factors which may include job-related knowledge, skills, education, experience, and actual work location. This position will also be eligible for additional variable incentive compensation and competitive benefits. 

Candidates must be legally authorized to work in the US to be considered. We are unable to provide visa sponsorship for this position. 

#LI-hybrid 

#LI-TE 1 

Who We Are & What We Offer:

We are AssetMark, a company on the move, shaping the future of financial services. Growth is in our DNA. Every day, we combine technology, insight, and collaboration to create new possibilities for advisors, for our people and for our investors. At AssetMark your ideas matter; they’re heard, valued, and drive meaningful change. Join a team that sets new standards and creates space for you to thrive and do your best work. 

Our Mission 

Our mission is simple: to help our 10,500+ financial advisors make a meaningful difference in their clients’ lives. We do this by combining powerful technology, holistic support, and expert consulting to help advisors run stronger, more efficient businesses. Backed by a comprehensive suite of investment solutions and a trust company that boasts of $150B+ AUM, our platform empowers advisors to deliver exceptional service and an outstanding client experience.

Our Values 

Heart. Client Success. Integrity. Respect. Excellence. Our values are how we show up every day.  

We believe in: 

• Leading with Heart, in truly making a difference in the lives of others: teammates, clients, investors and communities. 

• Obsessing over Client Success, bringing a relentless focus on what matters to clients that sets us apart and creates loyal, lasting relationships. 

• Unyielding Integrity, doing what’s right, always. Even when it’s hard. 

• Collective Respect, in being authentic, inclusive and valuing all voices while winning together. 

• Operating with Excellence, in learning fast, continuously improving, innovating and collaborating to find new and better solutions.  

These values shape our culture, guide our decisions, and define what it means to be part of the AssetMark family. 

Our Culture & Benefits 

Our culture brings our mission and values to life. Here, we do what’s right, embrace diverse ideas, and innovate together. We also offer a wide range of benefits to support you and your family—because thriving at work starts with thriving in life. 

• Flex Time or Paid Time Off and Sick Time Off 

• 401K – 6% Employer Match 

• Medical, Dental, Vision – HDHP or PPO 

• HSA – Employer contribution (HDHP only) 

• Volunteer Time Off 

• Career Development / Recognition 

• Fitness Reimbursement 

• Hybrid Work Schedule 

  
  

As an Equal Opportunity Employer, AssetMark is committed to building a diverse and inclusive workplace where everyone feels valued.