Compliance Officer - e-Surveillance

Newport Beach, USA
Aug 14, 2022
Sep 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:

The Compliance Officer will be a member of the Regulatory Compliance team within the Legal and Compliance Department and the head of PIMCO's e-surveillance compliance program.

Responsibilities will include the overall governance of the e-Surveillance program, including the ongoing implementation of compliance requirements for the firm's investment advisory activities.

The role will also require working on compliance initiatives as well as researching, recommending, designing and implementing strategic enhancements to the overall program. The candidate will work closely with teams and individuals across all firm's functional areas and global offices, including the Technology team to resolve technical issues and implement enhancements to the e-Surveillance vendor software.

The Compliance Officer must build solid internal relationships with members of the Legal & Compliance Team and strong partnerships with trade floor personnel, account management, product management, human resources and operations. Keys to success of this role is the ability to multitask, strong management skills, the ability to provide accurate and direct practical advice and recommendations in a timely fashion

Position Requirements:

An undergraduate degree is required.

  • 7+ years of compliance or related experience with a large and diverse investment management firm
  • Strong background in fixed income instruments, derivatives, alternative products and equities
  • Strong knowledge of regulatory requirements applicable to investment managers including the Investment Advisers Act and Investment Company Act (knowledge of Broker-Dealer compliance requirements a plus)
  • Knowledge of employee conduct compliance policies and procedures including personal securities transactions, implications of information security barriers and restricted lists, material nonpublic information and wall crossing procedures
  • Experience with drafting, implementing, monitoring and training on compliance policies and procedures
  • Experience interacting with senior management including trade floor and business personnel
  • Demonstrated ability to execute projects/initiatives in a focused and highly tactical manner
  • Ability to flourish in a challenging, fast-paced and professional environment with frequent shifts in priorities as business needs dictate
  • Focus on specific personal and team goals and demonstrate a sense of personal growth, accountability and urgency for achieving results
  • Strong communications skills (both verbal and written)
  • Strong technical skills to administer the e-Surveillance vendor software and outputs
  • Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO


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

Similar jobs

Similar jobs

  • You need to sign in to save