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Alternatives Compliance Officer

London, United Kingdom
Closing date
Jul 28, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.

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 Overview

Alternatives Compliance

Program focus
  • The primary responsibility of this role is the execution and evolution of the Compliance program in PIMCO's Alternatives business area including Marketing and Product Strategy, Alternatives Finance, Portfolio and Asset Management.
Assist the business in meeting regulatory standards
  • The role involves regular engagement with walled-off Alternatives portfolio management and support personnel as well as public side portfolio management personnel on Alternatives transactions. This requires excellent communication skills and the ability to deal effectively in a busy and time-sensitive environment.
  • In addition, the role will involve the provision of compliance advice; the production of timely and relevant management information; and regular discussions with Alternative and firm senior leadership. The role will also include coverage of the firms control group in management of information barriers as well as support on monitoring and surveillance tasks,
Evolve the EMEA

Compliance program
  • The role is part of the broader EMEA Regulatory Compliance team, which is charged with identifying key risk areas for Compliance and adapting the Compliance program and resource allocations accordingly.
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 "get their hands dirty" and work well in a team-based environment with a collegiate and collaborative approach to problem solving. This includes execution of the Alternatives Compliance program across Alternatives portfolio management and support functions as well as testing and surveillance of staff activity to ensure adherence to policies and regulatory requirements in collaboration with other team members locally and globally.
Contribute to the success of a truly global team
  • The candidate will be expected to contribute to the global Alternatives compliance team as well as to get involved in or lead local, regional and global project work and working groups.

Compliance experience in alternative products and is key to success in this role
  • Experience in developing a risk-based, audit-ready Compliance program with a focus on first-line controls and related Compliance activities in Alternatives. A solid background in alternative products including real estate (debt and equity), private credit, specialized financing and distressed credit are a must for this role. A strong knowledge of the spectrum of anti-financial crime domains, including AML/KYC, sanctions, anti-bribery and corruption, tax evasion and fraud is preferred. An understanding of risks around inside information and management of information barriers is also desirable.
The candidate should have extensive knowledge of UK and EU regulation
  • Strong knowledge of regulatory requirements and expectations applicable to Alternatives products in the context of the broader regulatory framework applicable to PIMCO Europe.
Excellent organization and communication skills
  • A clear, detailed, logical approach with excellent record keeping and the ability to work with little supervision is essential.
  • Clear, concise communication skills and experience at presenting complex subject matter to business audiences is desirable.
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.
  • Flexibility in approaching complex subject matter and understanding the business needs in the context of regulatory requirements is crucial.
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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