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Compliance Officer - 12 month FTC

London, United Kingdom
Closing date
Jul 14, 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 Description

The individual in this role will support PIMCO's Control Group in the management and oversight of information barriers.

The Control Group implements the firm's MNPI Policy and related procedures, implements and monitors permanent and temporary information barriers, and maintains PIMCO's trading restricted lists, and handles market soundings and wall crossings, among other functions.

This individual will also:
  • Assist with enhancing, drafting and maintaining policies and procedures as well
  • as other compliance-related governance documents and memos, communications, and reporting.
  • Implement process enhancements.
  • Conduct live training and provide support for all MNPI-related online training and education modules.
The position requires a compliance professional with diplomatic and analytical skills who can flourish in a challenging and fast-paced, work environment with frequent shifts in priorities as business needs dictate. Strong communication skills, organizational skills, and attention to details are key requirements needed for the position.

Key responsibilities include, but are not limited to:
  • Handling Market Soundings from external parties
  • Managing trading restrictions and related activities;
  • Identifying, escalating and supporting senior management with issue resolution;
  • Supporting PIMCO's investment professionals
    • Approving requests for expert network calls and access to virtual data rooms
    • Chaperoning certain expert network consultations and other internal meetings
    • Assisting with planned and inadvertent receipt of material non-public information ("MNPI")
  • Drafting policies, procedures, training documents, memos, and internal and external communications;
  • Working effectively with various teams and departments from across the firm including Legal, Portfolio Management, Business Management, Client Facing, and Product Strategies, to identify and address compliance matters; and,
  • Developing and delivering compliance training and education in areas such as information barriers, MNPI and other related topics
Position Requirements
  • Possesses (or develops) an understanding of PIMCO's business and the relevant policies, procedures and laws/regulations;
  • Learns new skills, regulations, and to proactively respond to business and regulatory changes;
  • Completes projects by working independently by identifying resources, and timely communicates risks and issues to management;
  • Works effectively with colleagues to ensure tasks are completed timely and accurately, including the ability to work effectively within a matrixed organization;
  • Works efficiently and improves processes by identifying administrative, manual, or duplicative work and escalating to management (e.g., identify and escalate requests for technology enhancements and discontinue manual processes);
  • Demonstrates strong written communications skills and attention to details when drafting a variety of materials (e.g., emails, memos, policies, reports, presentations) with minimal errors and language that is easily understood by a diverse audience;
  • Demonstrates strong oral communications skills by tailoring clear and concise messages appropriately to the audience;
  • Completes and verifies/substantiates findings supporting compliance investigations;
  • Multi-tasks and remains flexible in a rapidly changing environment with shifting business demands.
Role Requirements
  • 5 years or more of regulatory compliance experience at large and diverse investment management firms or investment banks serving in a compliance function;
  • Understanding of securities laws applicable to insider trading and market abuse and knowledge of regulatory requirements applicable to US investment managers, including the Market Abuse Regulation;
  • Background in fixed income, alternatives, derivatives, commodities or equity strategies offered in a variety of investment products (i.e., open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds); and
  • A strong sense of personal integrity consistent with the expressed values and ethical principles of PIMCO.
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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