Associate/Senior Associate, Regulatory

Employer
PIMCO
Location
Newport Beach, USA
Salary
Competitive
Posted
Dec 03, 2022
Closes
Dec 14, 2022
Ref
17996006
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
PIMCO is a global leader in active fixed income. With our launch in 1971 in Newport Beach, California, PIMCO introduced investors to a total return approach to fixed income investing. In the 50+ years since, we have worked relentlessly to help millions of investors pursue their objectives - regardless of shifting marketing conditions. As active investors, our goal is not just to find opportunities, but to create them. To this end, we remain firmly committed to the pursuit of our mission: delivering superior investment returns, solutions, and service to our clients.

Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.

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
Equal Employment Opportunity and Affirmative Action Statement

PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws.

Applicants with Disabilities

PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.
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