Compliance Associate — AI Governance & Regs

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. 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.