Legal and Compliance Specialist

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.
• 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:
• 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 t

Additional Information

Job Description: 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.

Your Match

How well this role fits your profile.

Company Intel

What employees say

Worked at assetmark? Share your experience