Associate - Compliance
Job Details
Experienced
Irvine Office - Irvine, CA
Other
Associate - Compliance

Description

 

  • Coordinate and create the annual review and revisions of the compliance manual and procedures.
  • Assist in the filing of SEC documents including ADV and ADV, Part 2.
  • Conduct and document the annual compliance review.
  • Assist and coordinate SEC compliance audits and client-related meetings regarding topics related to compliance.
  • Assist in creating and conducting educational presentations for employees at Pathway.
  • Become knowledgeable in all laws and regulations regarding investment advisory compliance practices.
  • Monitor regulatory developments and communicate applicable details to relevant teams within the group
  • Complete other ad hoc tasks or projects as assigned

Requirements

 

  • Bachelors Degree in Economics, Finance, Accounting or Business Administration
  • 5+ 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, and PowerPoint and the ability to learn new software packages quickly.

 

In order to be considered for any position, you must fully complete the online application through our website. Incomplete applications will not be considered for the position. In addition, we highly encourage you to include a covering letter detailing your experience and background in order for us to learn more about you!

 

Working visa sponsorships and relocation packages are not currently being offered for this position.

 

COVID-19 Vaccination Requirements: Pathway requires all new employees to be fully-vaccinated from COVID-19 with vaccines authorized or approved by the FDA. Pathway will consider requests for accommodation in relation to this mandatory vaccination policy if a new employee requires a reasonable accommodation due to a disability or medical condition, or a sincerely held religious belief or religious practice. Pathway reserves the right to request documentation and/or additional information in order to verify any request for accommodation.

Headquarters - Irvine, California
Providence, Rhode Island
London, UK