Compliance Specialist
Experienced
Irvine Office - Irvine, CA
Bachelors Degree
Please note: We are interested in every qualified candidate who is eligible to work in the United States. However, we are not able to sponsor visas at this time.

 

About Pathway Capital Management, LP

 

Pathway Capital Management, headquartered in Irvine, California, is a leading global private equity fund manager. Formed in 1991, the company develops and manages diversified portfolios of private equity investments on behalf of institutional and corporate clients, and has deployed some $65 billion in the asset class on their behalf.

 

As a leading institutional investment management firm that creates and manages specialized private equity funds of funds for institutional investors worldwide, we are seeking a:

 

Compliance Specialist

 

Responsibilities

 

 

  • Coordinate the annual review and revisions of the compliance manual and procedures.
  • Update the compliance calendar insuring all projects are completed on time.
  • Assist in the filing of SEC documents including ADV and ADV, Part 2.
  • Coordinate and document the annual compliance review. Follow-up with recommendations for improving company procedures and implement changes as necessary.
  • Assist and coordinate SEC compliance audits and client-related meetings regarding topics related to compliance.
  • Assist in creating educational presentations for employees at Pathway.
  • Become knowledgeable in all laws and regulations regarding investment advisory compliance practices.
  • Other duties may be assigned, as needed.

 

Requirements

 

  • Bachelors Degree in Economics, Finance, Accounting or Business Administration
  • 1-4 years of experience
  • A general understanding of the SEC rules and regulations governing compliance programs for investment managers.
  • Knowledge of current company business practices compared to industry standards.
  • Strong analytical skills.
  • Ability to communicate ideas and information effectively and in a clear manner to co-workers and senior management.
  • Ability to write clearly and concisely, consistent with Pathway’s business style.
  • Ability to manage and prioritize tasks to ensure that all tasks are completed timely and with highest level of accuracy.
  • Proactively take on tasks and work independently within broad policies and procedures.
  • Comprehensive knowledge and experience of software applications such as MS Excel, Word, 4D and PowerPoint and the ability to learn new software packages quickly.

 

 

Benefits:

 

All regular full-time employees at Pathway Capital Management, LP enjoy a generous benefits package which includes:

 

  • Health Insurance coverage provided with a minimal monthly contribution of $10 per pay period for employee only and $45 for employee and dependents.
  • Complimentary access to a fitness center located in the building and other amenities provided by The Boardwalk.
  • Pathway observes 10 holidays per year. All regular full-time employees are eligible for holiday pay.
  • Pathway provides an additional 4 days paid Holiday Time Off during the weeks of Christmas or New Year’s Day to regular full-time employees.

 

More About Pathway Capital Management, LP

 

Pathway’s founders have accumulated significant experience as a team, working with more than 50 institutions in the development and management of their fund investment portfolios. Our clients include some of the largest corporate and public pension plans, government entities, and financial institutions in North America, Europe, and Asia.

 

Pathway’s investment professionals work out of offices in California, Rhode Island, London and Hong Kong. Pathway is an independent company, wholly owned by 19 senior professionals/partners. Pathway offers competitive compensation and a generous and comprehensive benefits package to all full time employees.

 

In order to be considered for any position, you must answer all required questions in our online application. Incomplete applications will be receive lower priority for consideration.

 

It is our policy to comply with all applicable state and federal laws prohibiting discrimination in employment based on race, age, color, sex, religion, national origin, or other protected classification. All U.S. employees are covered by workers compensation.
Headquarters - Irvine, California
Providence, Rhode Island
London, UK