Senior Compliance Officer (Control Group)

Newport Beach, USA
31 Aug 2021
15 Sep 2021
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About Us:

We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset classes, strategies and vehicles: fixed income, equities, commodities, asset allocation, ETFs, hedge funds and private equity. PIMCO is one of the largest investment managers, actively managing more than $1.92 trillion in assets for clients around the world. PIMCO has over 2,800 employees in 17 offices globally. PIMCO is recognized as an innovator, industry thought leader and trusted advisor to our clients.

PIMCO is one of the world's premier fixed income investment managers with thousands of professionals around the world united in a single purpose: creating opportunities for our clients in every environment. Since 1971, we have brought innovation and expertise to our partnership with the institutions, financial advisors and millions of individual investors who entrust us with their assets. We aspire to cultivate performance and leadership through empowering our people, diversity of thought, and a commitment to an inclusive culture that engages in our global communities.

Position Description:

PIMCO is a preeminent leader across fixed income strategies, including registered 40 Act funds and across a broad range of opportunistic and alternative strategies in the private fund space. The individual will support the investment adviser compliance program and serve as the global head of PIMCO's Control Group. This position will be based in our corporate headquarters in Newport Beach, CA.

The individual will be responsible for overseeing the firm's Control Group which implements the firm's MNPI Policy and related procedures, including monitoring information barriers, maintaining restricted lists and handling market pre-soundings and wall crossings, among other areas.

This role will also involve managing a team of compliance professionals and assisting with the drafting of policies and procedures as well as other compliance-related documents, communications, and reporting; implementing process enhancements; and conducting training and education.

This position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast-paced, and professional environment with frequent shifts in priorities as business needs dictate. Strong writing skills are required.

Key responsibilities include, but are not limited to:
  • Serve as central point of oversight and contact for PIMCO's Control Group, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally;
  • Manage a team of compliance professionals who are responsible for the various Control Group activities noted above;
  • Draft policies, procedures, memos and internal and external communications;
  • Identify processes for enhancement, such as those requiring institutionalization or automation;
  • Work with various teams and departments including Legal, Portfolio Management, Client Facing, and Product Strategies to identify and address regulatory matters;
  • Must take initiative in learning and applying new skills and regulations;
  • Proactively respond to business and regulatory changes;
  • Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO

Position Requirements:

  • Lead/Own projects from start to finish by working independently to maintain a project plan, having a deep understanding of the subject matter and driving the strategy, aligning resources and communicating clearly
  • Effectively manage a group of personnel with diverse background and experience, including through motivating them to achieve goals and providing clear communication of expectations and feedback
  • Have a deep understanding of PIMCO's business as well as relevant policies, procedures and laws/regulations, and take the initiative to learn about new and evolving areas
  • Delegate responsibilities, as appropriate, by strategizing on what should/should not be delegated, having a clear understanding of what is being delegated, clearly communicating what is being requested and reviewing/verifying responses
  • Strong writing skills demonstrated by the ability to draft a variety of materials (e.g., emails, memos, policies, reports, presentations) with language that is clear and concise and can be easily understood by a wide audience (i.e., subject matter experts as well as those not familiar with the material)
  • Strong verbal and presentation skills with clear and concise ideas/strategies and tailored toward the audience (e.g., how much info is being shared, how it is being shared, how much time is allotted, etc.)
  • Strong attention to detail, demonstrated by minimal errors in substantive content and grammar/punctuation in written work product
  • Strong investigative skills demonstrated by complete and verified findings
  • Work efficiently, by identifying administrative, manual or duplicative work and escalating to management or delegating to administrative support staff (e.g., identify and escalate requests for technology enhancements and discontinue manual processes)
  • Strategic thinking, demonstrated by the ability to quickly assess a situation and generate new insights and ideas (e.g. process improvements, realignment of responsibilities), connect similar issues, and leverage institutional knowledge and technical skills.
  • Multi-task oriented and highly flexible in a rapidly changing environment with shifting business demands
  • Consensus builder and team player with the ability to work well within a matrixed organization
  • Demonstrated self-awareness based on expectations of the role and through performance feedback

  • Minimum 8 years of regulatory compliance experience with a large and diverse investment management firm serving in a compliance function or within the investment management/regulatory practice at a top-tier law firm, focused on both registered 40 Act products and private funds
  • An undergraduate degree is required, graduate degree or Juris Doctorate preferred
  • Deep knowledge of securities laws applicable to insider trading and market abuse and knowledge of regulatory requirements applicable to US investment managers, including the Investment Advisers Act of 1940
  • Strong background in fixed income, alternatives, derivatives, commodities and equity strategies offered in a variety of investment products including (i.e., open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds)


PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and well-being of you and your family. Benefits vary by location but may include:
  • Medical, dental, and vision coverage
  • Life insurance and travel coverage
  • 401(k) (defined contribution) retirement savings, retirement plan, pension contribution from your first day of employment
  • Work/life programs such as flexible work arrangements, parental leave and support, employee assistance plan, commuter benefits, health club discounts, and educational/CFA certification reimbursement programs
  • Community involvement opportunities with The PIMCO Foundation in each PIMCO office

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