Regulatory Reporting Senior Associate/Specialist

Newport Beach, USA
07 Jun 2022
12 Jun 2022
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 $2.2 trillion in assets for clients around the world. PIMCO has over 3,070 employees in 22 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:

In recent years, the Global Regulatory Bodies have issued mandates for the regulatory reporting of transactions. These obligations refer to PIMCO reporting requirements, PIMCO's funds, and reporting responsibilities delegated to us by our clients. The reporting differs for each regime, and the Global Regulatory Reporting team plays an essential role in ensuring the day-to-day operational excellence of transaction reporting to regulators. In this critical role the Regulatory Reporting Senior Associate/Specialist will be vital in supporting PIMCO in the industry with processes around existing reporting regimes and the implementation of growing regulatory reporting requirements, regulatory change, and business growth.

Key responsibilities include, but are not limited to :
  • Coordination of multi-regime reporting requirements for PIMCO, with internal legal and technology teams, as well as 3rd parties concerning delegated reporting
  • Partner with technology and vendors in the development and enhancement of reporting tools and workflows
  • Coordination of regulatory technical standards and specifications between regulator specifications & Q&A, vendor specifications and industry bodies, and internal legal, operations, and technology teams
  • Support with oversight of PIMCO/IMS direct reporting; escalation point for reporting exceptions and for navigating structural reporting issues Support oversight of delegated parties to ensure accuracy and completeness of daily reporting
  • Oversight of reconciliation and reporting across multi-pronged reporting model
  • Assist in the evolution of PIMCO's trade reporting strategy through representing PIMCO at industry meetings and seminars
  • Provision of internal metrics on global reporting compliance to senior stakeholders
  • Work with the client-facing teams to provide clients with updates and information around transaction reporting and risk mitigation techniques
  • Partnership with onboarding team concerning the process of onboarding new accounts for regulatory reporting

Position Development Value
  • Contribute to the build-out and success of firm-wide processes to support global transaction reporting requirements
  • The role will be vital in leading PIMCO in the industry with processes around regulatory reporting and the implementation of growing regulatory reporting requirements.
  • Open learning environment focused on global transaction reporting requirements, core operational processes, and procedures
  • Exposure to global offices with contribution to the global process
  • Direct opportunity to contribute tangibly to PIMCO regulatory reporting operations
  • Extensive exposure to industry experts within PIMCO Operations and across other functional areas of the firm
  • A broad range of opportunities to collaborate with talented colleagues cross-functionally and globally
  • Constructive feedback to foster career growth in addition to a formal annual review process

About You
  • You challenge the status quo by asking "why" and identifying new and better ways of doing things
  • Exceptional organizational and project management skills, including the ability to multi-task and lead many ongoing initiatives
  • Resourceful, inquisitive, and enjoy problem-solving. Many of the concepts and/or solutions we face are sophisticated, and you bring a desire to work through these complex scenarios
  • Proven track record to deliver on assigned responsibilities through pursuing excellence, outstanding attention to detail, and using interpersonal and communication skills
  • You seamlessly adapt to shifting priorities and enjoy working with ambiguity
  • A standout teammate who builds positive relationships and collaborates across multiple levels of a globally diverse organization, including external vendors
  • Track record of building credibility and trust through consistent behavior, high integrity, and judgment Intellectual curiosity, a dedication to professional development, an ability to learn, and an interest in staying on top of emerging trends Self-motivated and thrive in a fast-paced environment
  • High emotional intelligence, are flexible, and resilient
  • Proven record of navigating unstructured processes and simultaneously handling responsibilities with multiple, exciting demands
  • Encourage a positive work environment and culture for all employees

Position Requirements:

  • 2+ years of professional experience within a major buy-side institution, top-tier investment bank, on management consultancy, specifically focused on regulatory transaction reporting and the compliance of same
  • Minimum of a Bachelor's Degree. An advanced degree is desirable
  • Experience with regulatory reporting either in Europe, APAC, or the U.S., and/or direct experience supporting the day to day processes related to regulatory reporting
  • Demonstrated understanding of reporting regimes and technical specifications.
  • Ability to translate between regulatory technical standards, legal, and technology
  • Ability to recognize risk events and escalate when needed to senior management
  • Strong aptitude for derivatives, transaction information, and data
  • Ability to interpret requirements and navigate sourcing data and information, and translate to internal workflows
  • Broad understanding of front, middle, and back-office functions
  • Excellent Project Management skills, including goal and task setting, progress tracking, issues, managing change requests and priority changes Experience implementing new processes and change management
  • Strong Excel, custom reporting, and data analysis skills preferred


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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