Legal and Compliance Specialist
$85,000–$95,000 year
Hybrid · Phoenix, Arizona, United States or Concord, California, United States
Job Summary
Legal and Compliance Specialist in a hybrid-eligible role supporting Legal Services intake and triage across Legal, Compliance & Risk. Responsibilities include co-owning the Legal Services inbox, triaging requests by assessing risk and required review level, conducting initial independent research, routing to appropriate teams, documenting inquiries and outcomes, and driving process improvements. The role also supports project work focused on risk reduction, regulatory adherence, policy implementation for new products/services, and cross-functional collaboration with Legal, Compliance, Risk, and business teams. Requires strong problem-solving, curiosity, self-direction, and the ability to translate complex topics into clear guidance; Bachelor’s degree and exposure to corporate legal/compliance environments preferred; hybrid schedule near Phoenix, AZ or Concord, CA.
Required Qualifications
- Bachelor's degree required
- Experience in corporate legal, compliance, risk, or financial services environment preferred
- 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)
- Strong problem-solving mindset and ability to research issues independently
- Excellent written and verbal communication skills
- Ability to coordinate across functions with diverse stakeholders
- Highly organized with multiple priorities and timely follow-through
Apply with one swipe on Sorce. We auto-fill applications and apply on your behalf — no cover letters, no 40-minute forms.
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.