{"id":3432667,"url":"https://alion.io/job/assetmark-director-corporate-compliance","title":"Director, Corporate Compliance","company":{"id":5445,"name":"AssetMark","domain":"assetmark.com","url":"https://alion.io/company/assetmark","size_band":"1001-5000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Workday","truth_index":{"grade":"B","score":75,"open_postings":4,"ghost_share":0,"stale_share":1,"repost_share":0,"time_to_fill_p50_days":30,"computed_at":"2026-11-01T06:10:25Z"}},"role":"Legal","role_family":"Legal","seniority":"head","employment_type":"full_time","work_mode":"hybrid","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"explicit","locations":["Concord, United States","Charlotte, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":{"min":156000,"max":null,"currency":"USD","period":"year","gross":null,"usd_annual":156000},"salary_estimate":null,"experience_years_min":10,"visa_sponsorship":true,"relocation_package":false,"has_equity":false,"technologies":[{"name":"Microsoft Office","optional":false},{"name":"Outlook","optional":false}],"status":"live","first_seen_at":"2026-10-28T00:00:00Z","employer_posted_date":"2026-10-28","last_verified_at":"2026-11-02T00:24:06Z","board_verified":true,"closed_at":null,"days_open":5,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":5},"description":"Job Description:\nAssetMark is a leading strategic provider of innovative investment and consulting solutions serving independent financial advisors. We provide portfolio, business consulting, service, and support solutions that advisors use in helping clients achieve their business goals to service their clients.\nSummary of Role\nYou will support the firm’s compliance program and will manage the compliance responsibilities related to new product initiatives and enhancements, marketing programs, and other strategic programs that seek to drive firm growth. You will regularly engage with product and marketing team members, attend meetings, and will provide guidance on all compliance items, such as regulatory risk and performance requirements. You will also manage related compliance responsibilities related to marketing and sales functions such as advertising, social media, and third-party marketing reviews. You will manage junior advertising review staff, and will help ensure all sales, client proposals and marketing materials are in compliance with internal policies and regulatory requirements. The role will also lead special projects and perform research as needed for other compliance program matters and will provide compliance guidance to senior business leaders as needed. The ideal candidate will possess all of the qualifications required for the job, including financial services industry experience. The candidate should be dependable, motivated, and be able to work under minimal supervision and meet demanding deadlines. This position reports directly to the VP, Corporate Compliance, and will meet frequently with the Investment Advisor Chief Compliance Officer, and other Compliance and Legal senior leaders.\nWe can consider candidates for this position who are able to accommodate a hybrid work schedule and are close to our Concord, CA or Charlotte, NC offices.\nKey Responsibilities:\nEnhance compliance program and policies related to platform product oversight\nIdentify risks within product creation process and initiate controls\nDevelop, perform, and assist testing related to marketing and product initiatives, performance policies, and to ensure related processes are in compliance\nAdvise Marketing and other business leaders on compliance with advertising requirements\nManage junior marketing review staff\nServe as lead compliance liaison with the marketing and product development teams\nFunction as subject matter expert on marketing and advertising material review under Rule 206(4)-1 of the Investment Advisers Act of 1940, Rule 482 of the Securities Act of 1933 and relevant FINRA advertising rules\nOwn compliance marketing review through marketing workflow system\nOwn compliance marketing guide, related policies and procedures, and develop/update as needed\nDevelop disclosures for marketing and advertising as needed\nCollaborate with investment and reporting teams regarding performance related matters\nReview certain policies and procedures relating to the Adviser. Ensure that such policies and procedures are up-to-date and reflect current operational practices\nAssist in coordinating regulatory examinations by federal regulators and internal audits. Ensure productive relationships with internal auditors and regulators \nContribute to the development and implementation of internal training programs for the firm’s investment adviser and broker-dealer\nWork closely with Legal and follow through on issues pertaining to compliance efforts\nEnsure productive working relationships within AssetMark, striving to establish constructive relationships based on clear communication, mutual respect, understanding, and shared objectives \nQualifications:\nMinimum 10 years financial services experience, including direct experience with Investment Advisers Act of 1940\nMarketing/advertising review experience and a solid knowledge of the Advertising Rule 206(4)-1 is highly preferred\nSolid understanding of investment advisory products and processes\nRegulatory experience; audit experience a plus\nBachelor’s degree required\nExceptional attention to detail\nDemonstrates leadership, presentation, and project management skills\nAbility to interface effectively with management and team members\nPossesses strong verbal and written communication skills and strong interpersonal skills\nAbility to prioritize competing tasks and responsibilities\nAbility to drive results in a comprehensive manner taking into account time constraints\nDemonstrated success in working within processes, procedures and systems that optimize compliance and business results\nHighly analytical, organized, detail oriented, self-motivated, and capable of monitoring and completing a variety of projects simultaneously\nAdvanced knowledge of Microsoft Office® (Word, Excel, PowerPoint, Outlook) as well as Adobe® Acrobat® Pro (PDF)\nCompensation: The Base Salary range for this position is as follows:\nConcord Salary Range:\n$140,000 $156,000\nCharlotte Salary Range:\n$120,000 $134,500\nThis 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.\nCandidates must be legally authorized to work in the US to be considered. We are unable to provide visa sponsorship for this position.\n#LI-hybrid\n#LI-TE 1\nWho We Are & What We Offer:\nWe 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.\nOur Mission\nOur 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.\nOur Values\nHeart. Client Success. Integrity. Respect. Excellence. Our values are how we show up every day.\nWe believe in:\nLeading with Heart, in truly making a difference in the lives of others: teammates, clients, investors and communities.\n\nObsessing over Client Success, bringing a relentless focus on what matters to clients that sets us apart and creates loyal, lasting relationships.\n\nUnyielding Integrity, doing what’s right, always. Even when it’s hard.\n\nCollective Respect, in being authentic, inclusive and valuing all voices while winning together.\n\nOperating with Excellence, in learning fast, continuously improving, innovating and collaborating to find new and better solutions.\n\nThese values shape our culture, guide our decisions, and define what it means to be part of the AssetMark family.\nOur Culture & Benefits\nOur 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.\nFlex Time or Paid Time Off and Sick Time Off\n\n401K - 6% Employer Match\n\nMedical, Dental, Vision - HDHP or PPO\n\nHSA - Employer contribution (HDHP only)\n\nVolunteer Time Off\n\nCareer Development / Recognition\n\nFitness Reimbursement\n\nHybrid Work Schedule\n\nAs an Equal Opportunity Employer, AssetMark is committed to building a diverse and inclusive workplace where everyone feels valued.","description_format":"text","description_chars":7868,"description_truncated":false,"requirements":{"experience_years_min":10,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"bachelor","optional":false},"security_clearance":false,"languages":[]},"benefits":["401k plan","Hybrid work"],"hiring_locations":[{"name":"United States","iso":"US","kind":"country"}],"hiring_excludes":[],"relocation_offered":false,"industries":["Asset Management & Funds","Financial Software & Embedded Finance"],"lifecycle":[{"event":"open","at":"2026-10-29T01:23:22Z"}],"visa":[],"liveness":{"score":90,"band":"hot","label":"Hiring now","p_open":1,"p_active":0.903,"p_room":1,"age_days":4,"expected_fill_days":30,"reasons":["conf:4","velocity","win:early"],"computed_at":"2026-11-01T06:10:25Z"},"pay":{"stated_usd_annual":156000,"is_top_pay":false},"html_url":"https://alion.io/job/assetmark-director-corporate-compliance","json_url":"https://alion.io/job/assetmark-director-corporate-compliance.json","meta":{"generated_at":"2026-11-02T02:56:38Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":4486,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-11-03T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":5445},"rest":"https://alion.io/mcp/rest/get_company?id=5445"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fassetmark-director-corporate-compliance"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fassetmark-director-corporate-compliance"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fassetmark-director-corporate-compliance"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/assetmark-director-corporate-compliance\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fassetmark-director-corporate-compliance"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":3432667}},{"tool":"search_jobs","arguments":{"company":"assetmark.com","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":3432667},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); https://alion.io/mcp with an Alion account has everything. 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