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Regulatory Compliance Associate

London, United Kingdom
Closing date
Nov 8, 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.


PIMCO is seeking an experienced and ambitious Compliance expert to join our Regulatory Core Compliance team. As a Compliance Expert, you will be responsible for carrying out monitoring tasks, maintaining records, and aggregating results from centralized Core Compliance monitoring activities in execution of PIMCO EMEA's Core Compliance monitoring program.

In addition, you will provide compliance advice to the business on Compliance policies and procedures. This role requires excellent communication skills and the ability to thrive in a busy and time-sensitive environment. The successful candidate will play a crucial role in ensuring compliance with regulatory obligations for PIMCO EMEA's legal entities and branches.

  • Implement and process central Compliance approval and regulatory filing obligations, including tasks such as regulatory filings, training, client-facing events, personal account dealing inquiries, quarterly Compliance certifications, and maintaining Compliance calendars
  • Enhance the efficiency of program execution, maintenance, and record-keeping by leveraging technological capabilities and developing proposals for reducing manual workload and increasing process automation
  • Execute the EMEA Compliance monitoring program as part of the broader EMEA Regulatory Compliance team. Collaborate closely with a team of experienced Compliance Experts in the UK and abroad, carrying out specific elements of the monitoring program and related central Compliance tasks
  • Proven experience in executing and documenting Compliance Monitoring programs, with a focus on risk-based, audit-ready Compliance monitoring and diligent record-keeping
  • Working knowledge of UK and EU regulations, as well as the broader regulatory framework applicable to PIMCO EMEA
  • Excellent organization and communication skills, with a clear, detailed, and logical approach to work
  • Ability to work independently with minimal supervision
  • Highest professional standards and a client service orientation. Ability to foster good working relationships and support the team's professional standards and client service orientation
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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