Senior Mutual Fund/Investment Compliance Analyst II

Pacific Life•Newport Beach, CA

About The Position

Providing for loved ones, planning rewarding retirements, saving enough for whatever lies ahead – our policyholders count on us to be there when it matters most. It’s a big ask, but it’s one that we have the power to deliver when we work together. We collaborate and innovate – pushing one another to transform not just Pacific Life, but the entire industry for the better. Why? Because it’s the right thing to do. Pacific Life is more than a job, it’s a career with purpose. It’s a career where you have the support, balance, and resources to make a positive impact on the future – including your own. We’re actively seeking a talented Senior Mutual Fund/Investment Compliance Analyst II to join our Regulatory Filings and Compliance Team, supporting Pacific Life Fund Advisors LLC (PLFA) in Newport Beach, CA. As a Senior Mutual Fund/Investment Compliance Analyst II you’ll move Pacific Life, and your career, forward by providing expertise on a variety of compliance related functions/projects to ensure mutual fund, advisor, and insurance company separate account compliance with applicable Securities and Exchange Commission, National Futures Association, and Commodity Futures Trading Commission regulations. You will fill an existing role that sits on a team within the Enterprise Compliance Department in the Office of the General Counsel. Your colleagues will include compliance, legal, investment, operations, risk and accounting professionals. Note: Position level may vary based on skills and experience. How you’ll help move us forward: Preparation and analysis of materials for regulatory filings, proactively and independently identifying, researching, and resolving complex compliance issues and exercising judgment in escalating matters to management when appropriate Ownership of PLFA’s Section 15(c) responses, including drafting responses and assessing submissions for completeness and consistency Conducting SEC Compliance Program reviews of regulatory compliance control procedures to determine their effectiveness and adherence to laws and regulations, and providing recommendations to the CCO, as needed Responsible for drafting mutual fund, advisor, and insurance company separate account policies and updating existing policies for various regulatory compliance manuals based on regulatory and internal changes Maintain the trustee restricted list, validating responses and exercising judgement to ensure accuracy and completeness for quarterly board reporting Ownership of the compliance calendar annual updates, ensuring internal alignment with regulatory requirements Compile, analyze and synthesize information to prepare materials supporting material economic relationships and benefits reporting for the Conflicts Review Committee Serve as the primary point of contact and content owner for various questionnaires, applying independent judgment to ensure high‑quality, consistent responses Review and implement new SEC, NFA and CFTC rules and regulatory guidelines, with an ability to translate rules into operational controls and provide recommendations on enhancing the compliance programs Key liaison with investment managers, fund custodian, auditor, third party vendors and outside counsel, to ensure compliance with regulatory requirements (includes responding to questions, researching and resolving issues, etc.) Keep abreast of industry best practices through attendance on industry calls, industry newsletters and webinars, and other means of independent learning. Regularly share insights with management and apply gained knowledge to keep PLFA’s, Pacific Select Fund’s and Pacific Life’s separate account processes aligned with industry standards

Requirements

In-depth understanding of regulatory filing requirements under the Investment Advisors Act and the Investment Company Acts of 1933, 1934 and 1940
Strong working knowledge of investment advisors and mutual funds, with an understanding of different types of investment strategies.
Experience with registered investment adviser and mutual fund SEC regulatory filings and/or compliance
Demonstrated ability to drive projects to successful completion in diverse and disparate environments
Demonstrated ability to effectively communicate throughout organizational structures and across organizational boundaries
Self-motivated individual with exceptional research and analytical skills and the ability to solve complex problems independently
Undergraduate degree in business or equivalent experience
8+ years of relevant experience in SEC compliance preferred
Proficient in Microsoft Office, especially Word, Excel, SharePoint, Teams and Copilot

Nice To Haves

Insurance Company separate account compliance knowledge a plus
The ability to explain complex compliance topics succinctly and credibly
The ability to distinguish between technical items and true compliance risk
Hands‑on experience reviewing and challenging third‑party responses

Responsibilities

Preparation and analysis of materials for regulatory filings, proactively and independently identifying, researching, and resolving complex compliance issues and exercising judgment in escalating matters to management when appropriate
Ownership of PLFA’s Section 15(c) responses, including drafting responses and assessing submissions for completeness and consistency
Conducting SEC Compliance Program reviews of regulatory compliance control procedures to determine their effectiveness and adherence to laws and regulations, and providing recommendations to the CCO, as needed
Responsible for drafting mutual fund, advisor, and insurance company separate account policies and updating existing policies for various regulatory compliance manuals based on regulatory and internal changes
Maintain the trustee restricted list, validating responses and exercising judgement to ensure accuracy and completeness for quarterly board reporting
Ownership of the compliance calendar annual updates, ensuring internal alignment with regulatory requirements
Compile, analyze and synthesize information to prepare materials supporting material economic relationships and benefits reporting for the Conflicts Review Committee
Serve as the primary point of contact and content owner for various questionnaires, applying independent judgment to ensure high‑quality, consistent responses
Review and implement new SEC, NFA and CFTC rules and regulatory guidelines, with an ability to translate rules into operational controls and provide recommendations on enhancing the compliance programs
Key liaison with investment managers, fund custodian, auditor, third party vendors and outside counsel, to ensure compliance with regulatory requirements (includes responding to questions, researching and resolving issues, etc.)
Keep abreast of industry best practices through attendance on industry calls, industry newsletters and webinars, and other means of independent learning. Regularly share insights with management and apply gained knowledge to keep PLFA’s, Pacific Select Fund’s and Pacific Life’s separate account processes aligned with industry standards

Benefits

Prioritization of your health and well-being including Medical, Dental, Vision, and Wellbeing Reimbursement Account that can be used on yourself or your eligible dependents
Generous paid time off options including: Paid Time Off, Holiday Schedules, and Financial Planning Time Off
Paid Parental Leave as well as an Adoption Assistance Program
Competitive 401k savings plan with company match and an additional contribution regardless of participation

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