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 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 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 Support and, in some cases, lead Legal, Compliance, and Risk‑related projects focused on regulatory adherence and policy implementation Support and, in some cases, lead Legal, Compliance, and Risk‑related projects focused on 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 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 and $95,000. 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. Equal Opportunity Employer As an Equal Opportunity Employer, AssetMark is committed to building a diverse and inclusive workplace where everyone feels valued. #J-18808-Ljbffr