Counsel
- Employer
- PIMCO
- Location
- Newport Beach, USA
- Salary
- Competitive
- Closing date
- Feb 16, 2022
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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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:
The attorney will work as an integral member of a team of regulatory attorneys and other legal and compliance professionals to advise and provide counsel with respect to, among other areas, the firm's trading activities, including with respect to fixed income, equities, and derivatives. The attorney will provide regulatory guidance regarding the provisions of the federal securities laws and the Commodity Exchange Act, as well as FINRA, NFA, and other regulations applicable to investment advisers. The attorney will also work on other legal and regulatory matters as assigned.
Key Relationships
• Portfolio Management
• Compliance
• Legal counsel/law firms
• Clients (domestic and global)
• Product Strategy Group
Position Requirements:
•4+ years of relevant experience in the financial services industry, including, for example, experience at a regulator with responsibility for market regulation, e.g., the SEC, CFTC, FINRA, or NFA; or experience at the securities law practice of a leading law firm
•Industry experience including in-house experience within the asset management industry is a plus
•Knowledge of the provisions of the Securities Exchange Act of 1934; Commodity Exchange Act; and rules under these acts related to trading activities is required
•Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and ERISA, particularly as applicable to trading issues, is a plus
•Leadership skills needed to achieve the best results working with a high caliber group of individuals
•Well organized, high energy level/self-starter, must work well in a team environment, especially with other senior level employees
•Excellent communication skills needed to work within the firm's demanding and highly focused environment, as well as with clients, outside counsel, and regulators
•Solutions-driven approach to complex legal and regulatory issues
•Clear commitment to PIMCO's culture, values and approach
Personal Characteristics
•Intelligent, bright, conceptual thinker and a quick learner with the ability to quickly assess a situation and provide practical, well informed legal guidance, sometimes within tight time constraints
•Outstanding reputation of professional integrity and the ability to be immediately, personally credible within the organization and in the investment and client communities
•An independent entrepreneurial self-starter
•Excellent communication and presentation skills - able to articulate clear ideas/strategies both orally and in writing
•Mature and self-confident
•Consensus builder and team player with the ability to work well within a matrix organization
•Cultural skills and sensitivities necessary to work effectively in global organizations
•Outstanding client service skills
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:
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:
The attorney will work as an integral member of a team of regulatory attorneys and other legal and compliance professionals to advise and provide counsel with respect to, among other areas, the firm's trading activities, including with respect to fixed income, equities, and derivatives. The attorney will provide regulatory guidance regarding the provisions of the federal securities laws and the Commodity Exchange Act, as well as FINRA, NFA, and other regulations applicable to investment advisers. The attorney will also work on other legal and regulatory matters as assigned.
Key Relationships
• Portfolio Management
• Compliance
• Legal counsel/law firms
• Clients (domestic and global)
• Product Strategy Group
Position Requirements:
•4+ years of relevant experience in the financial services industry, including, for example, experience at a regulator with responsibility for market regulation, e.g., the SEC, CFTC, FINRA, or NFA; or experience at the securities law practice of a leading law firm
•Industry experience including in-house experience within the asset management industry is a plus
•Knowledge of the provisions of the Securities Exchange Act of 1934; Commodity Exchange Act; and rules under these acts related to trading activities is required
•Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and ERISA, particularly as applicable to trading issues, is a plus
•Leadership skills needed to achieve the best results working with a high caliber group of individuals
•Well organized, high energy level/self-starter, must work well in a team environment, especially with other senior level employees
•Excellent communication skills needed to work within the firm's demanding and highly focused environment, as well as with clients, outside counsel, and regulators
•Solutions-driven approach to complex legal and regulatory issues
•Clear commitment to PIMCO's culture, values and approach
Personal Characteristics
•Intelligent, bright, conceptual thinker and a quick learner with the ability to quickly assess a situation and provide practical, well informed legal guidance, sometimes within tight time constraints
•Outstanding reputation of professional integrity and the ability to be immediately, personally credible within the organization and in the investment and client communities
•An independent entrepreneurial self-starter
•Excellent communication and presentation skills - able to articulate clear ideas/strategies both orally and in writing
•Mature and self-confident
•Consensus builder and team player with the ability to work well within a matrix organization
•Cultural skills and sensitivities necessary to work effectively in global organizations
•Outstanding client service skills
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
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