Compliance Officer

Newport Beach, USA
Jan 09, 2022
Feb 08, 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 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. Given the growth of its investment advisory and distribution activities, PIMCO seeks a dynamic individual to serve as a Compliance Officer within the global compliance team of PIMCO's Legal and Compliance Department. The Compliance Officer will support the investment adviser compliance program. The Compliance Officer will support the investment adviser compliance program and will be based in our corporate headquarters in Newport Beach, CA.

The Compliance Officer will be responsible for supporting the investment adviser compliance program in the following areas, among others: perform surveillance and testing associated with the firm's compliance policies and procedures, assisting with the drafting of policies and procedures as well as other compliance-related documents, communications, and reporting; handling investment-related issues; 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.

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
  • Support the 206(4)-7 risk assessment and annual review process, including assisting in reviewing the effectiveness of PIMCO policies & procedures
  • Perform surveillance and testing activities in areas including information barriers and matters relating to private funds and transactions, including drafting reports and compiling data related to these areas
  • Efficiently and effectively utilize various tools including Excel, PowerPoint, Visio, and a variety of PIMCO-proprietary applications
  • Identifying if and where processes are not working as they should and advising on changes to be made
  • Assist in developing new and modifying existing surveillance and testing procedures to address new policies and procedures and the evolving nature of PIMCO's business
  • Utilize effective time management skills to maintain a commitment to quality and attention to detail; ensure that all work is completed accurate and on time
  • Continually build an understanding of PIMCO and, in particular, the Alternatives/private funds business and its operations, including operation of the information barrier
  • Work with various teams and departments including Legal, Portfolio Management, Client Facing, and Product Strategies to identify and address regulatory matters;
  • Must take initiative in learning and applying new skills and regulations;
  • Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO

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
  • Acute attention to detail
  • 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

  • Minimum 3 years of compliance experience with a diverse investment management firm serving in a compliance or audit function, ideally focused on both registered 40 Act products and private funds
  • An undergraduate degree is required
  • General knowledge of regulatory requirements applicable to US investment managers and broker-dealers, including the Investment Advisers Act
  • 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)
  • Advanced working knowledge of the MS Office suite including Word, Excel, and PowerPoint; comfortable learning new software applications and working with large sets of data


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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