Compliance Administrator

Morton Wealth; Calabasas (CA); On-site; USD 45,000 - 52,000; Part time

Job summary

Morton Wealth is seeking a part-time Compliance Administrator to join our growing team in California. We are a registered investment adviser with a long-standing focus on risk management, transparency, and client service, offering meaningful exposure across the compliance function.

The role covers account and transaction monitoring, regulatory filings, marketing review, code of ethics processes, and cybersecurity initiatives.

Qualifications

• 1+ years of experience in compliance, financial services, or related area.
• Familiarity with the investment industry regulatory environment (SEC) is a plus.
• Proficiency with Microsoft Office, including Excel.
• Excellent organizational and communication skills.
• Strong intellectual curiosity and commitment to regulatory developments.

Responsibilities

• Review new, closed, and existing accounts for accuracy and compliance.
• Monitor and test account activity to identify potential issues.
• Assist with regulatory filings and audit requests (e.g., ADV, 13F, N-PX).
• Support annual, quarterly, and monthly compliance reviews.
• Assist in maintaining required books and records.
• Review marketing materials, social media, and advisor communications for compliance.
• Coordinate delivery of required disclosures and communications.
• Support Code of Ethics certification process.
• Assist with due diligence oversight for vendors and funds.
• Support cybersecurity initiatives and employee training.
• Assist with periodic audits and maintain testing logs.

Skills

Microsoft Office

Excel

Organization

Communication

Regulatory awareness

Job description

Morton Wealth is seeking a part-time Compliance Administrator to join our growing team. We are a registered investment advisor formed in 1981 that manages roughly $3.5 billion in assets across 1,200+ families. We manage wealth personally with the goal of empowering better investors and encouraging families to enjoy their lives. Our investment approach is distinctly not "Wall Street" - we are willing to look beyond traditional investments when we believe alternatives can more closely match our philosophy of risk management, true diversification, and cash flow.

At Morton, our Compliance team is a true partner to the organization. We don't see compliance as a function that monitors or polices - we see it as one that supports and enables our team members to do their best work with confidence. If you're someone who takes pride in getting the details right and wants to build a meaningful career in financial services, this role is a great place to start.

Our Compliance Administrator plays an important supporting role across a wide range of compliance activities, including account and transaction monitoring, regulatory filings, marketing and communications review, code of ethics processes, and cybersecurity initiatives. Because this role touches so many parts of the firm, it offers a unique opportunity to build broad knowledge of the investment advisory business while developing skills that will serve you well throughout your career.

What You'll Do

• Review new, closed, and existing accounts for accuracy and compliance
• Monitor and test account activity to identify potential issues
• Assist with regulatory filings and audit requests (e.g., ADV, 13F, N-PX)
• Support annual, quarterly, and monthly compliance reviews
• Assist in maintaining required books and records
• Review marketing materials, social media, and advisor communications for compliance
• Coordinate delivery of required disclosures and communications
• Support the quarterly and annual Code of Ethics certification process
• Assist with due diligence oversight for vendors and funds
• Support cybersecurity initiatives and employee training
• Assist with periodic audits and maintain testing logs

What We're Looking For

• 1+ years of experience in compliance, financial services, or a related area
• Familiarity with the investment industry regulatory environment (SEC) is a plus
• Proficiency with Microsoft Office, including Excel
• Excellent organizational and communication skills
• Strong intellectual curiosity and critical thinking skills
• A genuine commitment to learning and staying current on regulatory developments
• Part-time: 20-30 hours per week
• Compensation: $33/hr - $38/hr (commensurate with experience)

Our Core Values in Action

• Excellence - Brings a high level of attention to detail to account reviews, regulatory filings, and compliance testing, understanding that accuracy in this work protects both our clients and our firm.
• Empowerment - Looks for ways to make compliance processes more efficient and supports team members in understanding and navigating regulatory requirements with confidence.
• Empathy - Understands that compliance touches every part of the firm and communicates in a way that is helpful and approachable rather than intimidating.
• Ethical - Takes ownership of assigned tasks and follows through completely, recognizing that thoroughness in compliance work is never optional.
• Engagement - Is genuinely curious about the regulatory environment and how compliance supports the firm's broader mission of serving clients well.
• Enjoyment - Contributes positively to a team culture where compliance is seen as a resource and a partner, not a roadblock.