Compliance Officer

New York, USA
Jun 16, 2022
Jul 16, 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 seeks a dynamic individual to work within the global compliance team of PIMCO's Legal and Compliance Department. The candidate will support a variety of regulatory coverage areas for the compliance program. A highly qualified candidate could be based in PIMCO's NPB, New York, or Austin office.

A successful candidate will be expected to maintain a general understanding of relevant regulatory requirements and assist in the development and implementation of compliance program enhancements.

Key responsibilities include, but are not limited to:
  • Experience with supporting complex regulatory monitoring involving country or jurisdiction specific rules related to industry or security specific prohibitions and/ or restrictions (i.e. global shareholder reporting obligations)
  • Conducting the ongoing execution of conflict of interest reviews related to corporate action and proxy voting activity, collaborating with Operations, Account Management, and Legal as necessary
  • Assisting with the implementation of a compliance program focused on trading municipal securities and broader WRAP/Retail Separately Managed Account business
  • Ability to build and maintain relationships with ease and work with members of various teams within the Legal and Compliance department and other PIMCO departments including Portfolio Management, Product Strategy, Account Management and Operations to deliver a collaborative, business focused partnership in support of the firm's strategic priorities and culture of compliance
  • General compliance experience in the following areas:
    • Working in a generalist capacity to maintain a global compliance program that includes the implementation and monitoring of a diverse policies and procedures.
    • Project management skills focused on enhancing compliance and/or risk controls
    • Developing and performing compliance monitoring and testing programs, and
    • Providing accurate, clear and concise responses to internal and external information requests related to the compliance coverage areas

Position Requirements:

  • Demonstrated experience in the investment management industry, which may have come from work experience in asset management, investment banking, or management consulting
  • Prior regulatory compliance experience with regulated entities including investment advisers and/ or broker-dealers
  • Strong verbal and written communication skills, including experience and comfort interacting with senior leaders and decision-makers
  • Excellent presentation skills including the ability to articulate clear ideas/strategies
  • Intelligent, bright, critical thinker, and a quick learner with the ability to assess a situation and identify issues for further action
  • Ability to balance regulatory and policy standards along with a practical business perspective
  • A highly motivated self-starter with the willingness to "roll up your sleeves" and proactively identify opportunities for enhancement
  • 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 changing directions based on business demands
  • Team player with demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization

  • Undergraduate degree with excellent academic credentials and a minimum of 5-years of relevant work experience focused on compliance, risk management or equivalent control function experience
  • Strong attention to detail, analytical and issue-spotting skills
  • Ability to work independently and be a strong team player
  • Demonstrated initiative, leadership, creativity and drive
  • Bloomberg and general system navigation skills a plus
  • Efficiently utilize technology where appropriate
  • 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
  • Strong background in fixed income, alternatives, and equity strategies offered in a variety of investment products including, open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds is required


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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