Compliance Officer - ESG Compliance Officer - ESG …

in Newport Beach, CA, United States
Permanent, Full time
Be the first to apply
in Newport Beach, CA, United States
Permanent, Full time
Be the first to apply
Compliance Officer - ESG
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 $2.22 trillion in assets for clients around the world. PIMCO has over 3,000 employees in 20 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:

PIMCO seeks a dynamic individual to serve as a ESG Compliance Officer within the global compliance team of PIMCO's Legal and Compliance Department. The Compliance Officer will support all aspects of the firm's ESG and Sustainability (ESG) compliance program which generally consists of monitoring global ESG regulatory developments, partnering with key stakeholders to propose recommendations for business and compliance program enhancement, coordinating with regional subject matter experts on global ESG regulatory implementation, examination preparation and risk mitigation. A highly qualified candidate could be based in PIMCO's NPB (preferred), New York or Austin office.

A successful candidate will be expected to maintain a general understanding of requirements for corporate sustainability practices, as well as, have demonstrated experience with regulatory considerations for fiduciaries that exercise investment discretion in ESG investment strategies and products.

Key responsibilities include, but are not limited to:

  • Experience with:
    • evaluating ESG regulatory requirements and supporting regulatory implementation processes designed to prepare business partners and the Compliance team for new rules
    • identifying ESG related compliance risks including the ability to create integrated global compliance solutions to mitigate risk while pro-actively guiding business processes and activities
    • portfolio management, product and client related processes related to ESG including managing the risks associated with engagement due diligence, investment selection, new product launches, marketing and servicing practices
    • reviewing and validating statements in external disclosures (including responses to client inquiries, marketing and advertising communications) for consistency with business representations and regulatory expectations related to ESG
    • evaluating external requests for information and drafting appropriate responses regarding the Firm's ESG compliance program
    • global ESG frameworks including UN Principles for Responsible Investment, Taskforce on Climate-Related Financial Disclosures, UK Stewardship Code is preferred
  • Providing strategic compliance support and thought leadership in maintaining, evaluating, enhancing and helping to oversee PIMCO's ESG compliance program. This role involves extensive global coordination.
  • Developing, drafting and monitoring compliance policies related to ESG
  • Participating in the ongoing implementation and execution of risk assessments and compliance testing related to ESG
  • Working with members of various teams within the Legal and Compliance department and other PIMCO departments including Portfolio Management, Product Strategy, and Account Management to deliver a collaborative risk based ESG compliance program
  • Must take initiative in learning and applying new skills and regulations
  • Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO

Position Requirements:

  • Proven relevant experience in ESG investing and high proficiency in ESG and impact frameworks, reporting, and industry best practices;
  • Demonstrated experience in the investment management industry, which may have come from work experience in asset management, investment banking, or management consulting;
  • Prior regulatory compliance experience with regulated entities including investment advisers or experience at a rating agency and/ or asset manager that offers ESG related investment strategies and products
  • Knowledge of global regulatory requirements and developments (e.g. SFDR, HK SFC disclosures, MAS, SEC, etc.)
  • Strong verbal and written communication skills, including experience and comfort interacting with senior leaders and decision-makers
  • Excellent presentation skills including the ability to articulate clear ideas/strategies
  • Intelligent, bright, critical thinker, and a quick learner with the ability to assess a situation and identify issues for further action
  • Ability to balance regulatory and policy standards along with a practical business perspective
  • A highly motivated self-starter with the willingness to "roll up your sleeves" and proactively identify opportunities for enhancement
  • Exceptional organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines
  • Highly flexible, multi-task oriented: capable of changing directions based on business demands
  • Consensus builder and team player with demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization

  • Undergraduate degree with excellent academic credentials, and a minimum of 5-8 years of relevant work experience focused on compliance, risk management or equivalent control function experience. JD or other graduate level degree preferred.
  • Strong attention to detail, analytical and issue-spotting skills
  • Ability to work independently and be a strong team player
  • Demonstrated initiative, leadership, creativity and drive
  • Efficiently utilize technology where appropriate
  • Utilize effective time management skills to maintain a commitment to quality and attention to detail; ensure that all work is completed accurate and on time
  • Strong background in fixed income, alternatives, and equity strategies offered in a variety of investment products including, open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds is required


PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and well-being of you and your family. Benefits vary by location but may include:
  • Medical, dental, and vision coverage
  • Life insurance and travel coverage
  • 401(k) (defined contribution) retirement savings, retirement plan, pension contribution from your first day of employment
  • Work/life programs such as flexible work arrangements, parental leave and support, employee assistance plan, commuter benefits, health club discounts, and educational/CFA certification reimbursement programs
  • Community involvement opportunities with The PIMCO Foundation in each PIMCO office

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