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Senior Associate, Trade Surveillance (Newport Beach)

PIMCO Newport Beach, United States
Posted 1 month ago Permanent Competitive
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.

Overview

The Senior Associate will be a member of the Trade Surveillance team, which is part of the larger Regulatory Compliance team in the Legal and Compliance Department at PIMCO's headquarters in Newport Beach, CA. The candidate will primarily be responsible for supporting the trade surveillance and monitoring program, which is focused on monitoring firm trading, related ecommunications, and certain areas related to the alternatives compliance program globally for adherence to PIMCO's trade-related policies and procedures.

Responsibilities
  • Perform day-to-day surveillance responsibilities, including trading surveillance and esurveillance
  • Conduct monitoring of the private side information barrier and other alternatives business related controls
  • Support enhancements to testing design to satisfy trade allocation, conflicts of interest and complex market abuse regulation
  • Develop a strong understanding of PIMCO's order and trade management systems including third party execution platforms used
  • Liaise with PMs, Portfolio Risk, Analytics, Legal and Technology, and other trade floor partners to evolve the surveillance program
  • Assess impact of global regulatory and market structure changes to the scope of existing surveillance program
  • Stay updated on new internal trading systems and products, as well as PIMCOs trade execution strategies to create and apply efficient surveillance oversight
  • Assist with responding to inquiries and other team deliverables
  • Maintain appropriate documentation of escalation and resolution of issues
Requirements
  • Minimum of 3 years' experience in a compliance, portfolio risk management, trading or quantitative/analytics role
  • An undergraduate degree with a preferred major in business/finance, financial engineering, or regulatory compliance with an affinity to develop innovative monitoring techniques
  • Extensive knowledge of fixed income and derivative products
  • An understanding of automated trading systems, algorithmic trading and trading strategies
  • Strong data analysis skills
  • Possess strong communication skills, both written and verbal
  • Be self-directed, with the ability to proactively apply judgment to identify and analyze problems
  • Have good organization skills with the ability to manage and meet multiple deadlines
  • Ability to develop relationships across various global stakeholders within and outside of Legal and Compliance
PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.

Salary Range: $ 85,000.00 - $ 112,500.00

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.

Job ID  R104263
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