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Compliance Analyst

Newport Beach, USA
Closing date
Dec 3, 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:

This is a challenging and exciting opportunity to work within the Legal/Compliance department managing investment guidelines in the company's proprietary compliance management environment - ACE. Primary responsibilities will include: assisting our client facing and Legal teams in negotiating investment discretions, interpreting investment restrictions from different sources (including regulatory frameworks), supporting the Trade Floor with investment decisions and directing the creation of rules within the compliance environment. An individual in this position will have frequent interaction with the various teams within Legal and Compliance as well as investment professionals across the firm. Additional responsibilities include responding to inquiries, as well as participating in ad-hoc projects.

Position Requirements:

  • Qualified candidate will possess a working knowledge of the fixed income markets/products, including Derivatives
  • Experience with negotiating, interpreting, and implementing investment guidelines
  • In-depth understanding of compliance, mutual fund regulations (including, but not limited to the Investment Company Act of 1940), or other common legal/regulatory practices
  • This position requires a four-year degree in Finance or Economics and/or equivalent work experience
  • Experience with SQL
  • CFA attainment and/or a JD or MBA degree is a plus
  • Candidate muast be a collaborative self-starter whom is detail-oriented
  • Possess exceptional communication and problem-solving skills
  • Candidates must also have a working knowledge of MS Word and Excel


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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