Compliance Associate

Newport Beach, USA
Feb 19, 2022
Mar 19, 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:

PIMCO is a preeminent leader across fixed income strategies, including registered 40 Act funds and across a broad range of opportunistic and alternative strategies in the private fund space. The individual will support the Code of Ethics compliance program, including oversight of employee personal trading and outside business activity requirements. The position will be based in our corporate headquarters in Newport Beach, CA.

The Compliance Associates' key responsibilities include, but are not limited to the following:
  • Review employee personal trades for potential conflicts with firm trades
  • Complete daily personal trading conflicts of interest reviews and issue compliance violations, as necessary
  • Facilitate regulatory filings for PIMCO Sponsored Closed-End Fund insiders as required by Section 16 of the 1934 Securities Act
  • Engage with employees ranging from junior analysts to Managing Directors on any compliance reviews/matters identified
  • Manage employee inquiries regarding personal trading and Code of Ethics requirements
  • Manage personal trading system maintenance (e.g., ensuring personal accounts are added to/ removed from an automated broker feed, monthly data uploads)
  • Manage quarterly compliance certification launch, follow-up, and violations process
  • Generate quarterly reporting of personal investment statements for employees
  • Manage firm restricted trading list coding in the personal trading system
  • Facilitate onboarding of new employees
  • Assist in identifying and implementing process enhancements and leveraging technology
  • Assist compliance personnel with various projects and ad hoc tasks

Position Requirements:

  • Ability to work in a self-directed manner, proactively identifying issues and being solution-oriented
  • Ability to take initiative to lead projects and follow-up on outstanding items
  • Strong organizational and analytical skills, high attention to detail, and problem solving ability
  • Strong written and verbal communication skills and capable of communicating regarding project progress and escalating any challenges/bottlenecks
  • Multi-task oriented and highly flexible in a rapidly changing environment with shifting business demands
  • Have a high degree of discretion and ability to safeguard confidential information
  • Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO
  • Demonstrated self-awareness based on expectations of the role and through performance feedback
  • Strong attention to detail, demonstrated by minimal errors in substantive content and grammar/punctuation in written work product
  • Strong investigative skills demonstrated by complete and verified findings

  • Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field
  • Preferably previous Compliance analyst, with experience monitoring personal trading
  • Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word
  • Strong background in securities and investment products (stocks, bonds, derivatives, open-end mutual funds, closed-end funds, ETFs, private funds)
  • Strong verbal/written communication skills


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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