Compliance Specialist

AssetMark

Compliance Specialist at AssetMark supporting Registered Investment Adviser and mutual fund compliance programs. Responsible for monitoring, documentation, and collaboration with internal partners.

Posted 5/1/2026full-timeConcord • Arizona, California, North Carolina • 🇺🇸 United StatesJunior💰 $85,000 - $95,000 per yearWebsite

About the role

Key responsibilities & impact

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.
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.
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.

Requirements

What you’ll need

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.

Benefits

Comp & perks

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

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance monitoringcompliance testingregulatory reportingfund administrationinvestment guidelinesexpense allocationfinancial statement reviewdocumentation managementregulatory compliancerisk assessment

Soft Skills

organizational skillscommunication skillsattention to detailsound judgmentethical standardsrelationship managementtime managementmultitaskinganalytical skillsteam collaboration