Senior Compliance Analyst

Pacific Asset Management, LLC; Newport Beach (CA); On-site; USD 75,000 - 95,000; Full time

Job summary

Pacific Asset Management, LLC seeks a Senior Compliance Analyst in Newport Beach, CA. This role will support the Distribution & Marketing Compliance Team by ensuring compliance of marketing and sales materials and providing regulatory consultation.

The ideal candidate will have a 4-year degree and 5+ years of compliance experience, strong communication skills, and proficiency in Microsoft Office. The position demands a collaborative and resourceful approach, with relevant licenses preferred.

Qualifications

• 5+ years of compliance experience.
• Strong leadership abilities and interpersonal skills.
• Familiarity with agile methodology and adaptability to changes.

Responsibilities

• Provide compliance support by reviewing operating practices and internal controls.
• Review and analyze marketing materials and complete necessary filings.
• Assist with compliance training initiatives and develop new training materials.

Skills

Compliance experience

Strong written and verbal communication skills

Leadership abilities

Proficient with Microsoft Office

Problem-solving skills

Education

4-year degree or equivalent experience

Tools

Microsoft Office

SharePoint

MS Teams

Job description

Overview

We are seeking a Senior Compliance Analyst to join our Distribution & Marketing Compliance Team in Newport Beach, CA. The role supports the Consumer Markets Division by reviewing and approving marketing and sales materials, providing regulatory consultation, and delivering solutions that meet business and regulatory needs.

Responsibilities

• Provide compliance support to business units, reviewing operating practices and internal controls for alignment with company standards and regulatory requirements.
• Review and analyze sales and marketing materials, complete appropriate filings, and coordinate regulator audits and litigation requests.
• Help the unit rethink content creation processes, developing consumer‑appealing materials that satisfy regulatory expectations.
• Assist with compliance training initiatives—including design, development, implementation, and communication of policies and procedures for employees and third parties such as producers, suppliers, vendors, and end clients.
• Leverage automation technology to improve efficiency, accuracy, and develop new functionality for Distribution & Marketing Compliance initiatives.
• Identify opportunities to coordinate compliance activities with other areas, promoting best‑practice learning and sharing.

Qualifications

• 4‑year degree or equivalent experience.
• 5+years of compliance experience.
• Strong written and verbal communication skills and a professional, collaborative demeanor.
• Leadership abilities—interpersonal savvy, decision‑making, engagement, and resourcefulness.
• Proficient computer skills: Microsoft Office, SharePoint, MS Teams.
• Familiarity with agile methodology and adaptability to changing business needs.
• Ability to solve complex problems and develop new perspectives using existing solutions.
• Comfortable working independently with minimal supervision while collaborating with team members and other Office of the General Counsel teams.

Preferred Qualifications

• Series6 and 26 FINRA licenses (required).
• Strong knowledge of state regulatory requirements for sales and marketing.
• 5+years of Life Insurance and/or annuity or compliance experience.
• In‑depth knowledge of financial services and insurance industry issues.

EEO Statement

Pacific Life Insurance Company is an Equal Opportunity /Affirmative Action Employer, M/F/D/V. If you are a qualified individual with a disability or a disabled veteran, you have the right to request an accommodation if you are unable or limited in your ability to use or access our career center as a result of your disability. To request an accommodation, contact a Human Resources Representative at Pacific Life Insurance Company.