Compliance Associate

Morton Wealth; Calabasas (CA); On-site; USD 95,000 - 105,000; Full time

Job summary

Morton Wealth is seeking a full-time Compliance Associate to join our team. You will lead regulatory filings, annual and quarterly reviews, and training across the firm to ensure adherence to the Investment Advisers Act and related rules.

Collaborate with the Chief Compliance Officer on AI governance, cybersecurity initiatives, and the maintenance of the Compliance Manual. The role offers meaningful scope, professional growth, and a competitive compensation package.

Qualifications

• Background in accounting, business, or finance; a JD or other relevant graduate degree is a plus but not required
• 2–4 years of prior compliance experience within an investment manager or private fund
• Familiarity with the Investment Advisers Act and SEC regulatory framework
• Proficiency with Microsoft Office, including Excel
• Excellent organizational and communication skills
• Strong intellectual curiosity and critical thinking skills
• A genuine commitment to staying current on regulatory developments
• Full-time: 40 hours per week
• Compensation: $95K - $105K per year (commensurate with experience)

Responsibilities

• Take the lead on completing regulatory filings and responding to audit requests (e.g., ADV, 13F, N-PX)
• Independently conduct annual, quarterly, and monthly compliance reviews
• Review marketing materials, social media, and advisor communications for compliance
• Conduct training for Marketing and other teams on relevant rules and best practices
• Coordinate delivery of required disclosures and communications
• Support and assist in conducting the quarterly and annual Code of Ethics certification process
• Assist in conducting operational due diligence of underlying fund managers
• Support cybersecurity initiatives and employee training
• Work with the CCO on the implementation and governance of AI and emerging technology tools
• Maintain and update the Firm's Compliance Manual in response to regulatory developments
• Assist with periodic audits and maintain testing logs

Skills

Compliance

Regulatory filings

Audit

Communication

Organization

Critical thinking

AI governance

Tools

Microsoft Office

Excel

Job description

Morton Wealth is seeking a full-time Compliance Associate to join our 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 operates as a genuine partner to the rest of the organization. We believe compliance done well doesn't slow people down — it gives them the confidence to move forward. If you're an experienced compliance professional who wants to take on meaningful responsibility in a collaborative, growth-oriented environment, we'd love to meet you.

Our Compliance Associate takes the lead on a broad range of compliance functions, working closely with our Chief Compliance Officer on everything from regulatory filings and operational due diligence to AI governance and firm-wide training. This is a role with real scope and real impact — one that offers the opportunity to shape how compliance is practiced at a firm that genuinely values it.

What You’ll Do

• Take the lead on completing regulatory filings and responding to audit requests (e.g., ADV, 13F, N-PX)
• Independently conduct annual, quarterly, and monthly compliance reviews
• Review marketing materials, social media, and advisor communications for compliance
• Conduct training for Marketing and other teams on relevant rules and best practices
• Coordinate delivery of required disclosures and communications
• Support and assist in conducting the quarterly and annual Code of Ethics certification process
• Assist in conducting operational due diligence of underlying fund managers
• Support cybersecurity initiatives and employee training
• Work with the CCO on the implementation and governance of AI and emerging technology tools
• Maintain and update the Firm's Compliance Manual in response to regulatory developments
• Assist with periodic audits and maintain testing logs

What We’re Looking For

• Background in accounting, business, or finance; a JD or other relevant graduate degree is a plus but not required
• 2–4 years of prior compliance experience within an investment manager or private fund
• Familiarity with the Investment Advisers Act and SEC regulatory framework
• Proficiency with Microsoft Office, including Excel
• Excellent organizational and communication skills
• Strong intellectual curiosity and critical thinking skills
• A genuine commitment to staying current on regulatory developments
• Full-time: 40 hours per week
• Compensation: $95K - $105K per year (commensurate with experience)

Our Core Values in Action

• Excellence — Holds themselves and the compliance program to a high standard, ensuring that regulatory filings, reviews, and documentation reflect the quality our clients and regulators expect.
• Empowerment — Proactively identifies opportunities to strengthen the compliance program and helps team members across the firm understand how to navigate regulatory requirements with confidence.
• Empathy — Approaches training and cross-functional collaboration with patience and clarity, recognizing that most team members aren't compliance experts and deserve a partner who makes it accessible.
• Ethical — Models the highest standards of integrity in every aspect of the role, from due diligence reviews to the maintenance of the Compliance Manual.
• Engagement — Stays genuinely curious about the evolving regulatory landscape — including emerging areas like AI governance — and brings that curiosity to bear in keeping the firm ahead of the curve.
• Enjoyment — Contributes to a compliance culture that people across the firm want to engage with, not avoid.