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Regulatory Compliance Associate

London, United Kingdom
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:

Focus on executing the Compliance monitoring programme:

  • The primary responsibility of this role is supporting the Generalist VP to execute the PIMCO EMEA Core Compliance monitoring program.
  • This includes execution of certain monitoring tasks, record keeping and aggregation of results from centralized Core Compliance monitoring activities from other functions in the Compliance team for PIMCO EMEA's legal entities and its branches and the production of actionable Management Information.

Execution of central Compliance approval and regulatory filing obligations:

  • The role involves key Compliance approval or other recurring processes (such as Regulatory Filings, Training, Client Facing Events, Personal Account Dealing inquiries, quarterly Compliance certifications, Policies and Procedures etc.) as well as the maintenance of Compliance calendars for PIMCO EMEA's regulatory filing obligations.
  • This position requires good communication skills and the ability to deal effectively in a busy and time sensitive environment.

Focus on enhancing efficiency of program execution and maintenance and record keeping:

  • The candidate is expected to understand technological capabilities to enhance efficiency in Compliance procedures and will develop and eventually implement proposals to reduce manual workload and increase process automation. Diligent and structured work is key for this role.

Execute the EMEA Compliance monitoring program:

  • The role supports a Generalist VP and is part of the broader EMEA Regulatory Compliance team.
  • The position holder is charged with executing certain elements of the Compliance monitoring program and related central Compliance tasks.

Excel in a strong "player-coach" model in a flat, non-hierarchical business:

  • The "player coach" model is prevalent at PIMCO. This demands that staff work well in a team based environment with a collegiate and collaborative approach to problem solving.

Contribute to the success of the regional Compliance team:

  • The candidate will be expected to contribute to the regional regulatory compliance team with a particular focus on policies and procedures across the regional offices.

Position Requirements:

Experience in executing and documenting Compliance Monitoring programmes is key to success in this role:
  • Experience in executing a risk based, audit-ready Compliance monitoring program and diligent record keeping is a must for this role.
  • Furthermore, a good understanding of regulatory requirements and expectations is key to success.

The candidate should have a working knowledge of UK and EU regulation:

  • Working knowledge of the broader regulatory framework applicable to PIMCO EMEA is required.

Excellent organization and communication skills:

  • A clear, detailed, logical approach with excellent record keeping and the ability to work with little supervision is essential.

Highest professional standards and client service orientation essential for success in the role:

  • The candidate must be a team player with ability to foster good working relations and support the team's professional standards and client service orientation.


PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and well-being of you and your family.

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