Compliance Specialist, Finance & Banking

Job Description:

Position Overview

Asset Mark 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 work streams 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 Asset Mark'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 Asset Mark'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 Asset Mark

Asset Mark is a leading provider of wealth management and investment solutions, offering advisors a broad range of tools, services, and proprietary investment products, including Asset Mark'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 Asset Mark 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:

W…