AssetMark is a company shaping the future of financial services, and they are seeking a Legal and Compliance Specialist to serve as a critical point of contact for legal-related inquiries. This role involves triaging requests, contributing to risk reduction initiatives, and supporting regulatory compliance efforts.
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
Skills
- Bachelor's degree required
- 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)
- Experience in a corporate legal, compliance, risk, or financial services environment preferred
Benefits
- 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
Company Overview
AssetMark is an investment adviser registered with the Securities and Exchange Commission. It was founded in 1996, and is headquartered in Concord, California, USA, with a workforce of 501-1000 employees. Its website is http://www.assetmark.com.