Legal and Compliance Specialist

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