Shareholder Services - Document Management

Austin, USA
Nov 14, 2020
Nov 25, 2020
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:

The PIMCO Fund Operations team is responsible for operational oversight of PIMCO's mutual funds, hedge funds, exchange traded funds, closed end funds, and private equity funds. These responsibilities include oversight for the PIMCO Funds transfer agents, including service delivery to PIMCO shareholders.
In addition, we provide support to internal and external clients, as well as vendors who service or invest in our funds.
This position is based in our Austin, TX office. Relocation assistance will be provided.

Role Overview
We are seeking a Sr. Associate or Specialist to join our team with strong project management skills. In this role, you will be responsible for:
  • Coordinating the hard copy and electronic delivery of US 40 Act Funds regulatory documents to shareholders, including but not limited to: prospectuses, supplements, shareholder reports, section 19a notices, proxies, and repurchase offer notices
  • Maintaining accurate and current records, ensuring appropriate regulatory documents are used and available in sufficient quantities
  • Coordinating the posting of regulatory documents and confirm accuracy and availability of regulatory postings
  • Monitoring and reporting on vendor performance
  • Interacting with internal and external stakeholders to understand expectations and support efficient process flows

  • Coordinate dissemination of prospectuses, supplements, annual and semi-annual reports, section 19a notices, proxies, repurchase offer notices, and other regulatory documents, as the need arises
  • Execute quality assurance processes and procedures to ensure regulatory document distribution is in compliance with all applicable rules and regulations
  • Work with, teach, and monitor the performance of vendors
  • Ensure timely and accurate delivery of all regulatory documents
  • Monitor usage and inventory quantities for printed material; ensure appropriate levels are maintained
  • Coordinate web posting and monitoring of regulatory documents
  • Generate frequent reports and validations
  • Implement strategies to increase e-delivery participation
  • Track and report on third-party provider costs and review for efficiencies
  • Review and implement process and procedural improvements
  • Coordinate invoicing process and internal tracking
  • Ensure privacy is maintained across print, mail and web

Position Requirements:

  • Minimum of a Bachelor's Degree
  • 3-7 years of proven experience at a mutual fund advisor, transfer agent, or financial intermediary, including hands-on experience with mutual fund regulatory documents, requirements, and brokerage
  • Experience working with third-party financial print and fulfillment providers
  • Strong project management and communication skills (written and verbal)
  • Proven dedication to ongoing customer service improvement

Professional Skill Requirements
  • Excellent communication (verbal and written), facilitation, and social skills, including the ability to face off across all levels of an organization
  • Quick learner and adaptable to learn new processes, concepts, and skills
  • High emotional intelligence, flexible, and resilient
  • Highly motivated self-starter with the ability to work collaboratively and independently
  • Ability to multi-task, work in a demanding, fast paced environment and balance multiple, challenging priorities and projects with high quality output
  • Ability to work independently and as part of a team and manage multiple tasks in a fast-paced environment
  • Strong attention to detail; process and control oriented


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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