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Senior Compliance Officer

Newport Beach, USA
Closing date
Nov 15, 2022

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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:

The Quantitative Strategies Compliance Officer will be a member of the Trade Surveillance team, which is part of the larger Regulatory Compliance team in the Legal and Compliance Department at PIMCO's headquarters in Newport Beach, CA.
Primary responsibilities will include: the ongoing development and implementation of PIMCO's compliance program for quantitative strategies, model risk management applications, and algorithmic and electronic trading ("Quantitative Compliance Program"). The individual will be expected to maintain a deep understanding of PIMCO's portfolio management and trading systems and processes; related policies and procedures; and global compliance program in order to understand, identify and mitigate potential risks and advise the business on regulatory compliance issues pertaining to quantitative strategies.
A key aspect of this role will involve partnering with investment professionals, portfolio risk management, trading analytics and technology, as well as Legal and Compliance. As a member of the Regulatory Compliance team, the Quantitative Strategies Compliance Officer will ensure that PIMCO's trade surveillance program with respect to Quantitative Compliance Program is implemented consistently across the firm.


This position requires an analytical, detailed-oriented professional who can:
  • Oversee the ongoing implementation of PIMCO's Quantitative Compliance Program
    • Evaluate PIMCO's existing policies and procedures and potential impact of quantitative portfolio management and trading activities
    • Develop and implement, as needed, new policies and procedures related to the Quantitative Compliance Program
  • Administer the Quantitative Compliance Program surveillance and testing program, including designing, automating and reviewing compliance reports
    • Implement effective real-time portfolio surveillance and monitoring tools
    • Identify, escalate, and assist with the resolution of breaches arising from model errors, with an emphasis on root cause analysis and process improvement
    • Assist in expanding the scope, depth, and transparency of guideline testing
    • Spearhead projects that enhance the control framework and respond to changing business requirements
    • Review and evaluate firm compliance with policies related to Quantitative Compliance Program
  • Proactively respond to business and regulatory changes
  • Digest complex concepts into clear and sound advice for dissemination across the firm

Position Requirements:

  • An undergraduate degree with a preferred major in business/finance, financial engineering, data architecture or regulatory compliance
  • 5+ years of legal or compliance experience in the areas of quantitative strategies, algorithmic trading and model risk management applications across a variety of instruments, including but not limited to fixed income, equity, commodities, currencies and derivatives
  • Strong background in quantitative products including unregistered funds, mutual funds, ETFs and separately managed accounts
  • Knowledge and understanding of the development process for quantitative models or other algorithmic systems
  • Knowledge and understanding of and demonstrated experience with implementing best practices for evaluating Quantitative Compliance Program for compliance with relevant regulations and policies and procedures
  • Strong knowledge of regulatory requirements applicable to US and UK-based investment managers, particularly with respect to Quantitative Compliance Program
  • Experience interacting with senior management including investment professionals and technology, among others
  • Service oriented work ethic and ability to balance regulatory and policy standards along with a business perspective
  • Demonstrated ability to think innovatively to execute projects/initiatives in a focused and both tactical and strategic manner
  • Must take initiative in learning and applying new skills and regulations


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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