Senior Compliance Officer

Employer
PIMCO
Location
Newport Beach, USA
Salary
Competitive
Posted
Nov 14, 2021
Closes
Dec 14, 2021
Ref
12084239
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
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:

PIMCO is a preeminent leader across fixed income strategies, including registered 40 Act funds, and is expanding its capabilities across a broad range of opportunistic and alternative strategies in the private fund space. The individual will support the investment adviser compliance program, including private fund servicing. This position will be based in our corporate headquarters in Newport Beach, CA.
The individual will be responsible for supporting the investment adviser compliance program in the following areas, among others: assisting with the drafting of policies and procedures as well as other compliance-related documents, communications, and reporting; handling investment-related issues; conflicts of interest oversight; governance matters as they relate to regulatory compliance; and training and education.
This position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast-paced, and professional environment with frequent shifts in priorities as business needs dictate. Strong writing skills are required.
Key responsibilities include, but are not limited to:

  • Support the development and implementation of the investment adviser compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally
  • Handle regulatory compliance aspects of alternatives/private funds business
  • Draft policies, procedures, memos and internal and external communications
  • Identify and address situations involving conflicts of interest
  • Work with various teams and departments including Legal, Portfolio Management, and client facing teams to identify and address regulatory matters
  • Must take initiative in learning and applying new skills and regulations
  • Proactively respond to business and regulatory changes


Position Requirements:

  • Excellent problem-solving skills
  • Excellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally
  • Intelligent, bright, critical 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
  • Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO
  • Working knowledge of MS Office suite including Word and Excel

ROLE REQUIREMENTS
  • Minimum 8 years of regulatory compliance experience with a large and diverse investment management firm serving in a compliance function or within the investment management/regulatory practice at a top-tier law firm, focused on both registered 40 Act products and private funds
  • An undergraduate degree is required, graduate degree or Juris Doctorate preferred
  • General knowledge of regulatory requirements applicable to US investment managers and broker-dealers, including the Investment Advisers Act of 1940
  • Strong background in fixed income, alternatives, derivatives, commodities and equity strategies offered in a variety of investment products including (i.e., open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds)


Benefits:

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