Compliance Specialist

Compliance Specialist

AssetMark is seeking a detail-oriented and proactive Compliance Specialist to support the firm's Registered Investment Adviser (RIA) and proprietary mutual fund compliance programs. This exempt-level role requires consistent use of independent judgment, analytical evaluation, and decision-making in support of regulatory, contractual, and operational compliance obligations. The position also contributes to select fund administration activities while collaborating with internal partners, service providers, and members of the Compliance team.

The ideal candidate is organized, analytical, and comfortable operating in a fast-paced, highly regulated environment. This role offers meaningful exposure to multiple facets of investment adviser and mutual fund compliance, with opportunities to take ownership of complex workstreams and grow into expanded responsibilities over time.

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, Concord, CA or Charlotte, NC.

Key Responsibilities

Investment Adviser Compliance

• Perform ongoing monitoring and testing activities as part of AssetMark's RIA compliance program.
• Maintain compliance records, logs, and documentation in accordance with regulatory requirements.
• Prepare compliance reporting for senior management and regulatory exams.
• Support implementation of new regulatory requirements, internal policies, and compliance initiatives across the firm.

Mutual Fund Compliance

• Support the 1940 Act compliance program for AssetMark's proprietary mutual funds.
• Review service provider deliverables, including sub-adviser materials, fund reporting, and regulatory filings.
• Perform compliance testing related to investment guidelines, policies, and regulatory requirements.
• Contribute to the preparation and review of Board materials and compliance reports.

Fund Administration Support

• Coordinate certain fund administration tasks such as reviewing service provider invoices, assisting with expense allocation processes, and supporting financial statement and disclosure reviews.
• Help manage relationships with key service providers, including fund administrators, sub-advisers, legal counsel, and auditors.
• Assist in the preparation of materials for Board meetings and other governance activities.

Qualifications

• Bachelor's degree required; degree in business, finance, economics, or a related field preferred.
• 1 - 3 years of experience in compliance, fund administration, or a related function within the asset management or financial services industry preferred.
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is a plus.
• Strong organizational skills with the ability to manage multiple priorities and deadlines.
• Excellent written and verbal communication skills.
• High attention to detail, sound judgment, and a commitment to maintaining the highest ethical standards.
• Proficiency with Microsoft Excel, Word, and PowerPoint; experience with compliance systems or fund administration platforms is a plus.

About AssetMark

AssetMark is a leading provider of wealth management and investment solutions, offering advisors a broad range of tools, services, and proprietary investment products, including AssetMark's suite of mutual funds. Our mission is to empower financial advisors with the resources they need to deliver exceptional client outcomes. We foster a culture of integrity, collaboration, and continuous improvement.

Compensation: The Base Salary range for this position is between $85,000-$95,000.

This information reflects a base salary range that AssetMark reasonably expects to pay for the position based on a number of factors which may include job-related knowledge, skills, education, experience, and actual work location. 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.

#LI-hybrid

#LI-TE 1

Who We Are & What We Offer:

We are AssetMark, a company on the move, shaping the future of financial services. Growth is in our DNA. Every day, we combine technology, insight, and collaboration to create new possibilities for advisors, for our people and for our investors. At AssetMark your ideas matter; they're heard, valued, and drive meaningful change. Join a team that sets new standards and creates space for you to thrive and do your best work.

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 to help advisors run stronger, more efficient businesses. Backed by a comprehensive suite of investment solutions and a trust company that boasts of $150B+ AUM, our platform empowers advisors to deliver exceptional service and an outstanding client experience.

Our Values

Heart. Client Success. Integrity. Respect. Excellence. Our values are how we show up every day.

We believe in:

• Leading with Heart, in truly making a difference in the lives of others: teammates, clients, investors and communities.
• Obsessing over Client Success, bringing a relentless focus on what matters to clients that sets us apart and creates loyal, lasting relationships.
• Unyielding Integrity, doing what's right, always. Even when it's hard.
• Collective Respect, in being authentic, inclusive and valuing all voices while winning together.
• Operating with Excellence, in learning fast, continuously improving, innovating and collaborating to find new and better solutions.

These values shape our culture, guide our decisions, and define what it means to be part of the AssetMark family.

Our Culture & Benefits

Our culture brings our mission and values to life. Here, we do what's right, embrace diverse ideas, and innovate together. We also offer a wide range of benefits to support you and your family—because thriving at work starts with thriving in life.

• 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

As an Equal Opportunity Employer, AssetMark is committed to building a diverse and inclusive workplace where everyone feels valued.