Compliance Associate

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 look beyond traditional investments when alternatives align with 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. This role offers the opportunity to shape how compliance is practiced at a firm that genuinely values it, with real scope and impact.

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

Requirements

• 2–4 years of prior compliance experience within an investment manager or private fund
• Familiarity with the Investment Advisers Act and SEC regulatory framework
• Background in accounting, business, or finance; a JD or other relevant graduate degree is a plus but not required
• 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

Core Values

• 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.

Pay

$95K - $105K per year

Schedule

Full-time: 40 hours per week