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Associate/Senior Associate, Regulatory

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 $1.8 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:

Individual will be responsible for providing legal support for Legal US Regulatory within the Legal and Compliance Department, including, but not limited to:

Essential Duties and Responsibilities
  • Prepare and file certain U.S. regulatory filings, review and interpret regulatory reporting requirements, monitor reporting thresholds and maintain procedures governing filing workflows
  • Assist counsel with regulatory and internal reviews, including, but not limited to, coordinating e-Discovery collections, executing and analyzing transactional reports, conducting legal research, coordinating document productions, and preparation of regulatory responses
  • Support regulatory change management initiatives, specifically as it relates to new or amended regulatory rules, including, but not limited to, researching and summarizing requirements, managing implementation of targeted solutions, across various functional areas of the firm, and broadly supporting counsel throughout the implementation
  • Coordinate responses to various information requests, specifically client and investor due diligence requests related to various legal/regulatory topics
  • Support counsel with certain legal corporate governance functions, including, but not limited to matters related to recordkeeping, insurance renewals, and authorized signatory requirements
  • Assist with regulatory and compliance related research and miscellaneous special projects, as they are assigned

Position Requirements:

  • Bachelor's Degree required
  • Minimum 3 years of law firm / in-house paralegal or regulatory compliance experience
  • Proficiency in Microsoft Suite; must be able to perform intermediate Excel functions (e.g. formulas, vlookups, etc.)
  • Financial product and/or securities law knowledge is a plus
  • High performing individual capable of managing multiple time sensitive and complex tasks in a challenging, fast-paced, and fluid environment
  • Strong analytical skills and meticulous attention to detail
  • Able to take initiative in learning and applying new skills
  • Must possess excellent interpersonal skills, work well in a team environment, and have the ability to interact comfortably with all levels of management, as well as external contacts
  • Able to generate solutions and appropriately escalate to management
  • Must be able to maintain a high level of confidentiality and a clear commitment to PIMCO's culture, values, and approach


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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