Compliance Analyst II at Pacific Life

The Compliance Analyst II will generate reports, review and capture information in logs, conduct quality reviews of data, and maintain/route documents for review and storage. Responsibilities include updating procedure documents, monitoring team inboxes, reconciling fees and expenses, and organizing/archiving regulatory filings. The role involves assisting in SEC filings preparation, maintaining spreadsheets and trackers, reviewing sales and marketing materials, completing filings, and coordinating regulator audits and litigation requests. Additionally, the analyst will conduct market exams, investigate allegations of unethical activity, assist in compliance training initiatives, and potentially leverage automation technology. They will review and monitor various submissions, document findings, escalate items to leadership, maintain compliance records, and may conduct/facilitate audits or serve as a point of contact with regulatory agencies.