Senior Compliance Officer (Alternatives)

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 $1.76 trillion in assets for clients around the world. PIMCO has over 2,600 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:

This position will be based in PIMCO's New York office. You will work on the Alternatives Compliance team, which has professionals based in Newport Beach, New York, NY and London. The Alternatives Compliance team is part of the Regulatory Compliance team within the Legal and Compliance department at PIMCO.

Reporting to the Chief Compliance Officer (CCO) of Alternatives, you will flourish in a challenging, fast-paced, and professional environment with frequent shifts in priorities as business needs dictate. You will be responsible for supporting the development and implementation of diverse aspects of PIMCO's Alternatives Compliance program globally, including: distribution activities; information barriers; handling investment-related issues; conflicts of interest oversight; and training and education. You will also be critical in driving enhancements to the Alternatives compliance program globally, and working closely with the CCO of Alternatives to effectuate the same.

This role will generally involve drafting policies and procedures as well as other compliance-related documents and communications; managing projects to completion; and supporting the growth and development of members of the team globally. You will leverage your strong writing skills to develop and update policies and procedures, draft memos, and work with members of the Alts Compliance team.

Key responsibilities include, but are not limited to:

• Oversee and support the development and implementation of the Alts Compliance program globally, working closely with the CCO Alternatives to drive enhancements
• Draft a variety of documents including policies, procedures, memos, and presentations
• Collaborate with Alts Compliance team in New York, London (covering the EMEA region), and Asia (covering the APAC region) to ensure consistency across Alternatives globally and provide support and guidance as needed
• Partner with Alts Legal globally on various issues, including investments and policy and procedure interpretation and implementation
• Advise on marketing and distribution
• Participate in the deal approval process when regulatory compliance approval is required, in accordance with internal procedures
• Serve as a knowledgeable and experienced resource for members of the Alts Compliance team and foster a sense of teamwork, assisting others when needed/required
• Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO
• Continually build an understanding of PIMCO and, in particular, the Alternatives business and its operations, including operation of the information barrier
• Work with various departments including Regulatory Compliance, Alts Legal, Alts Finance and Product Strategies to identify and address regulatory risks
• Proactively respond to business and regulatory changes
• Digest complex concepts into clear and sound advice for dissemination across the firm

Position Requirements:

ROLE REQUIREMENTS

• Minimum 8 years of regulatory compliance experience with a large and diverse investment management firm serving in a senior compliance/leadership function or within the investment management/regulatory practice at a top-tier law firm, focused alternative products; including: private equity, private credit and structured products
• Must have strong writing skills
• Result oriented nature
• Demonstrated experience providing guidance, leadership, mentorship, and direction to others
• Demonstrated knowledge of regulatory requirements applicable to investment managers, including the Investment Advisers Act
• Experience interacting with senior management, including trade floor and business personnel
• Experience with risk assessment and testing programs preferred
• Must take initiative in learning and applying new skills and regulations
• Demonstrated key competencies and leadership skills necessary to be successful at PIMCO (Learning Agility, Results Orientation, Intellectual Rigor, Emotional Intelligence, etc.)

PROFESSIONAL SKILLS REQUIREMENTS

• Excellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally
• Outstanding reputation of professional integrity with the ability to be immediately, personally credible
• Intelligent, bright, conceptual thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas
• Service-oriented; the ability to balance regulatory and policy standards along with a business perspective
• A highly motivated self-starter with the willingness to "roll up your sleeves" and the ability to drive change
• Exceptional organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines
• Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands
• Consensus builder and team player with the ability to work well within a matrixed organization
• Demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization

Benefits:

PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and wellbeing 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