About this role
Senior Mutual Fund/Investment Compliance Analyst II role within Pacific Life’s Enterprise Compliance team supporting PLFA. You will own key regulatory response processes, review compliance controls under the SEC Compliance Program, draft and update compliance policies/manuals, and support committee reporting and questionnaires with independent judgment.
Key Responsibilities
- Preparation and analysis of materials for regulatory filings; Own PLFA Section 15(c) responses (draft and assess completeness/consistency); Conduct SEC Compliance Program reviews of regulatory compliance control procedures and recommend improvements to the CCO; Draft and update mutual fund/advisor/insurance separate account policies and compliance manuals; Maintain trustee restricted list and support compliance calendar updates and Conflicts Review Committee reporting
Technical Overview
Primary focus is regulatory compliance execution rather than technology. Responsibilities include regulatory filings material preparation, SEC Compliance Program reviews, Section 15(c) response drafting/validation, policy and manual updates for mutual funds/advisors/separate accounts, and maintaining trustee restricted list and compliance calendar artifacts for board and committee reporting.
Ideal Candidate
The ideal candidate is a senior compliance professional with strong mutual fund and investment compliance experience, including hands-on work preparing regulatory filings and managing SEC-related compliance programs. They have demonstrated ownership of Section 15(c) responses, policy drafting/updating for separate accounts, and experience reviewing compliance control procedures while applying independent judgment and escalating complex issues when needed.
Must-Have Skills
Preparation and analysis of materials for regulatory filingsOwnership of PLFA's Section 15(c) responsesConducting SEC Compliance Program reviews of regulatory compliance control proceduresDrafting and updating mutual fundadvisorand insurance company separate account policiesMaintain the trustee restricted list for quarterly board reportingOwnership of the compliance calendar annual updatesCompileanalyze and synthesize information for Conflicts Review Committee
Required Skills
Mutual fund complianceInvestment complianceSEC complianceNational Futures Association (NFA) complianceCommodity Futures Trading Commission (CFTC) complianceRegulatory filingsSEC Compliance Program reviewsSection 15(c) responsesregulatory compliance control procedurespolicy draftingtrustee restricted list maintenancecompliance calendar updatesConflicts Review Committee reportingquestionnaire responses
Hard Skills
Mutual fund complianceInvestment complianceSEC complianceNational Futures Association (NFA) complianceCommodity Futures Trading Commission (CFTC) complianceRegulatory filingsRegulatory compliance control procedures reviewSection 15(c) responsesDrafting responsesCompleteness and consistency assessmentEscalating complex compliance issuesDrafting policies for mutual fundsDrafting policies for advisor complianceDrafting policies for insurance company separate account complianceUpdating regulatory compliance manualsTrustee restricted list maintenanceQuarterly board reporting validationCompliance calendar annual updatesConflicts Review Committee reportingMaterial economic relationships and benefits reportingQuestionnaire responsesIndependent judgmentRegulatory change impact assessmentSecurities and Exchange Commission (SEC) filings
Soft Skills
Proactive and independent issue identificationExercising judgmentEscalation managementAttention to accuracy and completenessHigh-qualityconsistent responsesStakeholder engagementContent ownershipCross-functional collaboration with compliancelegalinvestmentoperationsriskand accounting
Keywords for Your Resume
Senior Mutual Fund/Investment Compliance Analyst IISenior Compliance Analyst IIMutual Fund/Investment ComplianceRegulatory FilingsEnterprise Compliance DepartmentOffice of the General CounselSecurities and Exchange Commission (SEC)SEC complianceNational Futures Association (NFA)Commodity Futures Trading Commission (CFTC)Regulatory compliance control proceduresSEC Compliance Program reviewsSection 15(c) responsesDrafting responsesCompleteness and consistencycompliance calendarConflicts Review Committeematerial economic relationships and benefitstrustee restricted listquarterly board reportingQuestionnairesregulatory compliance manualsmutual fund complianceregulatory filingsenterprise compliance
Deal Breakers
Must have experience preparing and analyzing materials for regulatory filings, Must have experience with Section 15(c) responses ownership and drafting, Must be able to conduct SEC Compliance Program reviews of compliance control procedures
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