Compliance Administrator

About the role

Morton Wealth is 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. This part-time role offers a unique opportunity to build broad knowledge of the investment advisory business while developing skills that will serve you well throughout your career.

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 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

Requirements

• Undergraduate degree in Accounting, Business, or Finance
• 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

Core Values

• 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.

Pay

$33/hr - $38/hr

Schedule

Part-time: 20–30 hours per week