Legal and Compliance Officer

Miami, USA
Jan 11, 2022
Feb 10, 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 has an opening for a Legal and Compliance Officer for our Sao Paulo, Brazil office. This is an important position within PIMCO's Latin America & The Caribbean business, which is a fast growing area at the firm. The Legal and Compliance Officer partners closely with the LatAm business unit to ensure compliance with applicable regulations. As a member of PIMCO's global legal and compliance team, the Legal and Compliance Officer also acts as an important interface between PIMCO's global legal and compliance team and PIMCO's Latin America & The Caribbean business unit.

Key responsibilities will include the following:
  • Serving as the designated Risk Management and Compliance professional required by ICVM 558.
  • Administering the compliance program for PIMCO Latin America & The Caribbean, which includes overseeing certain services
  • Maintaining compliance policies and procedures and monitoring compliance with these policies and procedures
  • Providing all required staff training and compliance testing and reporting
  • Reviewing marketing materials and website content for compliance with legislation and compliance policies and procedures
  • Overseeing anti-money laundering, privacy and short term trading processes and controls
  • Coordinating with PIMCO's Latin America & The Caribbean's business and PIMCO's global legal and compliance team
  • Managing relationships with external professional advisors (legal and accounting) and provide legal advice to business unit as needed
  • Keeping abreast of regulatory developments and potential compliance and business impacts
  • Producing the semi-annual Risk and Compliance report
  • Ensuring the completion of required regulatory filings in applicable jurisdictions, including, but not limited to, Brazil and Colombia.
  • Conducting periodic due diligence on service providers

Position Requirements:

The ideal candidate should have the following qualifications:
  • At least 6+ years of compliance/legal/risk/audit experience with a global financial services organization
  • Post-secondary education. Juris Doctor degree (JD) or equivalent and experience as a lawyer required.
  • Previous compliance experience for an investment fund manager highly desired.
  • Experience working with regulators and acting as a key point of contact
  • Strong written and oral communication skills
  • Ability to work effectively in a fast paced environment
  • Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands
  • Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment
  • Ability to effectively work with all levels of management and other compliance functional areas to meet objectives
  • Service oriented: ability to balance regulatory and policy standards along with a business perspective
  • Exceptional organizational skills: ability to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines
  • Fluent in both Portuguese and Spanish


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