Legal and Compliance Specialist

AssetMark•Concord, CA

1d•$85,000 - $95,000•Hybrid

About The Position

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.

Requirements

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)
Bachelor’s degree required
Candidates must be legally authorized to work in the US to be considered. We are unable to provide visa sponsorship for this position.

Nice To Haves

Experience in a corporate legal, compliance, risk, or financial services environment preferred
RIA experience a plus

Responsibilities

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
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
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
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