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 responsible for triaging legal/compliance inquiries, conducting independent research, and routing issues to appropriate teams. Key duties include intake and triage of requests, maintaining procedures and knowledge base, driving process improvements, supporting risk-reduction initiatives, regulatory updates, and cross-functional projects. Must closely monitor inquiries, document outcomes, and assist with regulatory disclosures, client agreements, and forms. Requires strong problem-solving abilities, clear written and verbal communication, and the ability to operate across functions with a hybrid work arrangement near Concord, CA or Phoenix, AZ. Foundational understanding of legal/compliance concepts in financial services (RIA experience a plus) and the ability to translate complex topics into actionable guidance.
Required Qualifications
- Bachelor’s degree required
- Experience in a corporate legal, compliance, risk, or financial services environment preferred
- Strong problem-solving mindset and ability to conduct independent research
- Excellent written and verbal communication skills
- Ability to manage multiple priorities and follow through to resolution
- Familiarity with applicable laws and regulations impacting investment advisers
- Knowledge of contracts and legal documents such as client agreements and powers of attorney
- Hybrid work schedule proximity to Concord, CA or Phoenix, AZ offices
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