Compliance Officer

Newport Beach, USA
Jan 07, 2022
Feb 06, 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 $1.91 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:

PIMCO is a preeminent industry 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 in this role will support PIMCO's MNPI Policy and information barriers as a key member of the Control Group. This position will be based in our corporate headquarters in Newport Beach, CA.

The Control Group implements the firm's MNPI Policy and related procedures, including such activities as monitoring permanent and temporary information barriers, maintaining restricted lists, and handling market pre-soundings and wall crossings, among other functions.

This individual will also assist with drafting policies and procedures as well as other compliance-related documents and memos, communications, and reporting; implement process enhancements; and conduct training and education.

The position requires a compliance professional with diplomatic and analytical skills who can flourish in a challenging and fast-paced, work environment with frequent shifts in priorities as business needs dictate. Strong communication skills, organizational skills, and attention to details are key requirements needed for the position.

Key responsibilities include, but are not limited to:
  • Supporting PIMCO's investment professionals -
    • Review and approve requests for expert network calls and access to virtual data rooms
    • Chaperone certain meetings held with expert network consultants
    • Assist with planned and inadvertent receipt of material non-public information ("MNPI"), often through market pre-sounding requests from sell side brokers and agent banks
  • Managing trading restrictions for various restricted lists, and assist in the coordination of handling confidential information, including MNPI, across the firm;
  • Drafting policies, procedures, training documents, memos, and internal and external communications;
  • Working effectively with various teams and departments from across the firm including Legal, Portfolio Management, Client Facing, and Product Strategies, to identify and address compliance matters; and,
  • Conducting compliance training and education in areas such as MNPI.

Position Requirements:

  • Possesses (or develops) an understanding of PIMCO's business and the relevant policies, procedures and laws/regulations;
  • Learns new skills, regulations, and to proactively respond to business and regulatory changes;
  • Completes projects by working independently, identifying resources, and communicating risks and issues to management;
  • Works effectively with colleagues to ensure tasks are completed timely and accurately, including the ability to work within a matrixed organization;
  • Works efficiently and improves processes by identifying administrative, manual, or duplicative work and escalating to management (e.g., identify and escalate requests for technology enhancements and discontinue manual processes);
  • Demonstrates strong written communications skills and attention to detail when drafting a variety of materials (e.g., emails, memos, policies, reports, presentations) with minimal errors and language that is easily understood by a diverse audience;
  • Demonstrates strong oral communications skills by tailoring clear and concise messages appropriately to the audience;
  • Completes and verifies/substantiates findings supporting compliance investigations;
  • Multi-tasks and remains flexible in a rapidly changing environment with shifting business demands.

  • Bachelor's degree;
  • 5 years or more of regulatory compliance experience at large and diverse investment management firms or investment banks serving in a compliance function, or within the investment management/regulatory practice at a top-tier US-based law firm focused on registered 40 Act products and private funds;
  • Understanding of securities laws applicable to insider trading and market abuse and knowledge of regulatory requirements applicable to US investment managers, including the Investment Advisers Act of 1940;
  • Background in fixed income, alternatives, derivatives, commodities or equity strategies offered in a variety of investment products (i.e., open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds); and
  • A strong sense of personal integrity consistent with the expressed values and ethical principles of PIMCO.


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

Similar jobs

Similar jobs