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