Associate - Compliance
Company: Pathway Capital Management Lp
Location: Tustin
Posted on: January 18, 2023
|
|
Job Description:
About Pathway Capital Management, LPPathway's founders have
accumulated significant experience as a team, working with more
than 100 institutions in the development and management of their
fund investment portfolios since 1991. Our clients include some of
the largest corporate and public pension plans, government
entities, and financial institutions in North America, Europe, and
Asia.Pathway has analyzed more than 17,500 private market fund
opportunities for potential investment and has monitored over 2,100
private market partnership investments. Our senior professionals
have established long-term relationships with leading general
partner groups and maintain an investment industry reputation that
gives Pathway unique and continued access to the highest-quality
investments. As a result, we have consistently created successful
private market programs for clients and have remained a leader
among private market management firms.Pathway has work locations in
California (Home office), Rhode Island, London and Hong Kong.
Pathway is an independent company, wholly owned by its 23 senior
professionals.Job DescriptionCoordinate 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 groupComplete other ad hoc tasks or projects as
assignedRequirementsBachelors Degree in Economics, Finance,
Accounting or Business Administration5+ years of experienceA
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.BenefitsHealth benefits coverage (medical, dental and
vision) with a small employee contribution. Life/AD& D, Voluntary
Hospital orAccident, Maternity/Paternity benefits, Flexible
Spending Accounts and a 401K plan.Pathway observes 10 holidays per
year. In addition, Pathway offers 15 paid vacation days per year.
All regular full-time employees are eligible for holiday and
vacation pay.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.
Keywords: Pathway Capital Management Lp, Tustin , Associate - Compliance, Other , Tustin, California
Click
here to apply!
|