Senior Compliance Specialist

Ready to make a meaningful impact? At Brighton Jones, we’re a purpose-driven, client-focused team committed to helping individuals live richer lives. As one of the largest RIAs in the nation, we’ve built a culture of continuous growth, collaboration, and community—recognized with 15 consecutive “Best Places to Work” awards including Inc.com’s 2025 list, as well as national honors for community impact. We lead the industry in aligning wealth, passion, and purpose to help our clients thrive. With over $30 billion in assets under advisement, 300+ teammates nationwide, and a dynamic, team-based approach, we’re growing fast—and we’re looking for driven, curious individuals to join our #OneTeam. The Legal and Compliance team at Brighton Jones plays a crucial role in ensuring the firm operates with the highest ethical and legal standards. Our work spans a broad range of business needs, including regulatory compliance, client agreements, vendor contracts, corporate governance, and day-to-day legal guidance. We are a collaborative, supportive, and team-oriented group that values proactive support, shared ownership, and strong partnership across the firm. We are looking for an experienced, highly organized, and detail-oriented teammate to support the Legal and Compliance team across legal operations, corporate governance, regulatory compliance, and risk management. This person will help manage complex matters, improve the systems and processes that keep the function running smoothly, and take ownership of meaningful projects that support the broader business. The ideal candidate is proactive, independent, and reliable, while also bringing a strong team-first approach. Their background may span compliance, regulatory, paralegal, or legal operations work. They communicate clearly, follow through consistently, contribute to a positive team dynamic, and understand that success in this role depends on trust, discretion, collaboration, and sound judgment. They bring strong organizational skills, structured communication, a high degree of professionalism, and the ability to handle confidential information with discretion and care. Take our Values in Action Self-Assessment to see how our values align! Legal Operations & Corporate Governance Manage the implementation, ongoing administration, and maintenance of the firm’s CLM system to ensure agreements are reviewed, approved, and archived in accordance with firm policies. Drive continuous improvement of legal operations by optimizing intake processes, workflows, and automation. Create, edit, revise, redline, format, and proofread agreements, legal documents and correspondence. Coordinate entity management activities, including entity formations, registrations, annual renewals, and state filings. Provide flexible and timely support on cross-functional legal and compliance projects across the firm. Present and communicate legal, compliance, and operational issues clearly and concisely to technical and non-technical audiences. Regulatory Compliance & Risk Management Assist with preparation and maintenance of regulatory filings (e.g., Form ADV, state registrations and related disclosures). Review the firm’s marketing content for compliance with applicable laws and regulations. Develop and maintain written policies, procedures, and processes for the Legal and Compliance team. Develop testing procedures for firm data in accordance with regulatory requirements and provide results and recommendations to senior leadership. Oversee routine requirements of the firm’s insurance portfolio and program, including coordination of annual insurance renewals, coordinating with internal and external stakeholders under attorney supervision. Bachelor’s degree, paralegal certificate from an ABA-approved school, or equivalent relevant experience preferred. Minimum of 5 years of professional work experience in compliance, regulatory, paralegal, or legal operations roles; experience in financial services highly preferred. Experience supporting audits, regulatory exams, or compliance programs within financial services, including familiarity with SEC investment adviser regulations (e.g., Form ADV), strongly preferred. Strong project management and problem-solving skills, with the ability to manage multiple concurrent deadlines, matters, and stakeholders. Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) and experience with document management systems. High level of attention to detail and accuracy, with the ability to deliver high-quality work under tight deadlines and quick turnaround times. Comfort working alongside AI tools and a curiosity to continuously learn and adopt new ways of working as technology evolves. This is a full-time, exempt, in-office position with flexibility. Pay $98,000 - $150,000 per year Ownership & Financial Wellbeing Fully paid medical, dental, and vision coverage for employees 401(k) with 100% match up to 3% of annual compensation Equity ownership opportunities for every employee New Business Incentive Program Generous employee referral bonus Cell phone data reimbursement Financial planning services discount for employees and immediate family members Time & Flexibility Minimum 3 weeks PTO starting Day 1 Winter Break, Summer Friday flex-days, and 10 paid holidays Unlimited Volunteer Time Off plus company grant matching Heavily subsidized transit Growth & Development 100% reimbursement for required training, certifications, licensing, and dues Personal career development plans Richer Life Business Partner (coaching for all employees) Mindful Emotional & Social Intelligence training Annual professional & personal wellbeing stipend Connection & Community Quarterly team-building events Regular social events Employee-led book clubs, committees, and affinity groups Family & Milestones Paid Parental leave (13 weeks for birthing parent and 6 weeks for non-birthing parent) Adoption benefits Anniversary milestone celebrations, including a 3-month paid sabbatical at 10 years Visa Sponsorship : Please note, we are unable to provide visa sponsorship for the position offered. Accordingly, we are unable to hire individuals who require, or will require, employment visa sponsorship either now or in the future. We are committed to building a business where all of our team members genuinely love where they work and are empowered to reach their full potential. We do this by building authentic relationships with one another, learning and growing continuously together, working hard while having lots of fun, and giving back to our community. Brighton Jones is a team founded on equity and respect, and we’re on a mission to help each other, our clients, and global community thrive. We actively foster a compassionate and inclusive culture and are committed to creating a diverse #OneTeam where teammates can show up authentically. To the right individual, we offer very competitive compensation, a robust benefits package, an award-winning culture, and rewarding career growth. Brighton Jones provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, veteran status, or caste. In addition to federal law requirements, Brighton Jones complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has offices. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. #J-18808-Ljbffr