Compliance Officer, Central Compliance

London, United Kingdom
Jan 09, 2021
Jan 22, 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:

Focus on executing the Compliance monitoring programme
This includes a program of testing of compliance with firmwide policies, record keeping and the production of actionable Management Information based on the results of the testing activities and other monitoring work performed by the Compliance team.
Management of central Compliance approval and regulatory filing obligations
This includes the management of key Compliance approval processes (e.g., Client Facing Events, Personal Account Dealing inquiries, quarterly Compliance certifications, etc) as well as the maintenance of Compliance calendars for PIMCO EMEA regulatory filing obligations.

This position requires excellent communication skills and the ability to deal effectively in a busy and time sensitive environment.
In addition, the role will also involve the provision of compliance advice to the business on Compliance policies and procedures.

Focus on enhancing efficiency of program execution and maintenance and record keeping
The candidate is expected to understand technological capabilities that can help enhance efficiency in Compliance procedures. The aim is to develop and eventually implement proposals to reduce manual workload and increase process automation.
Evolve the EMEA Compliance program through ongoing analysis of regulatory environment
This requires "horizon scanning" for regulatory changes, expectations voiced by regulators through various publications and industry best practices to assess the potential for enhancing the EMEA Compliance program on subject matters assigned to the candidate.
Contribute to the success of a truly global team
The candidate will be expected to contribute to the global regulatory compliance team with a particular focus on policies and procedures as well as to get involved in local, regional and global project work and working groups.

Position Requirements:

Compliance experience in Managing Compliance Monitoring programmes is key to success in this role
Experience in executing and enhancing a risk based, audit-ready Compliance monitoring program is desirable.
Furthermore, diligent record keeping and comprehensive understanding of the expectations on a best in class Compliance functions are key to success.
The candidate should have knowledge of UK and EU regulation
Strong knowledge of regulatory requirements and expectations related to the broader regulatory framework applicable to PIMCO EMEA is required.
Excellent organization and communication skills

A clear, detailed, logical approach with excellent record keeping and the ability to work with little supervision is essential.
Clear, concise communication skills and experience at presenting complex subject matter to business audiences is desirable.
Highest professional standards and client service orientation essential for success in the role
The candidate must be a team player with ability to foster good working relations and support the team's professional standards and client service orientation.
Flexibility in approaching complex subject matter and understanding the business needs in the context of regulatory requirements is crucial.


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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