Trade Compliance Associate

Newport Beach, USA
09 Oct 2021
15 Oct 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 $2.22 trillion in assets for clients around the world. PIMCO has over 3,000 employees in 20 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:

The Trade Compliance group is responsible for completing pre and post trade analysis of global trades to ensure compliance of those trades with the respective client, regulatory and other applicable guidelines. To resolve issues, the Compliance Analyst must be able to manipulate and analyze data from holdings and securities databases and where required, work with the appropriate Portfolio Manager, Account Manager and/or members of the Legal and Compliance Department.

This position is an ideal opportunity for individuals interested in a career in the fast paced, fixed income and equity markets. In this role, you will be expected to learn about securities, trade strategies, the impact of trades to client portfolios, and what client guidelines are intended to do.


  • Checking daily trading activity using proprietary compliance software against client account guidelines.
  • Interacting with Account and Portfolio Management as well as the Legal department on regulatory and guideline questions, providing timely identification, escalation and resolution of trade compliance issues.
  • Developing and maintaining workbooks and spreadsheets to increase efficiency at time of trade and to support management in reporting needs.

Position Requirements:

  • Possess strong analytical skills and excellent attention to detail.
  • Must have effective verbal and written communication skills.
  • Capable of managing multiple tasks with tight deadlines.
  • Possess strong problem solving ability.
  • Maintain a professional demeanor and accuracy in both a routine and highly pressurized environment.
  • Display a sense of teamwork and commitment to quality.
  • Flourish in a challenging, fast paced, professional environment with frequent shifts and occasional long working hours as business needs dictate.
  • Ability to be an independent learner with a curious nature

  • Relevant undergraduate degree and/or equivalent work experience required.
  • Understanding of the Fixed Income and/or Equity markets.
  • Strong knowledge of MS Excel and VBA required, SQL a plus.
  • Experience using MS Access and MS Query/Business Objects a plus.
  • CFA designation or active status in the CFA program is a plus.


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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