Senior Compliance Officer Senior Compliance Officer …

in Newport Beach, CA, United States
Permanent, Full time
Last application, 15 Oct 21
in Newport Beach, CA, United States
Permanent, Full time
Last application, 15 Oct 21
Senior Compliance Officer
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:

This is an ideal opportunity for individuals interested in pursuing a career in a fast paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. In this role, you will act as a direct liaison between Compliance and the Portfolio Management team to provide guidance, interpretation of policies and procedures and facilitate speedy resolution on compliance-related matters. This role resides in the Trade Compliance team that is responsible for reviewing fixed-income and equity trades, on a pre and post trade basis, to ensure compliance with applicable restrictions. Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Portfolio Management, Trade Support, Technology, and Portfolio Risk Management.

Key responsibilities include:
  • Liaising directly with the trade floor to provide real-time trade policy guidance on a variety of compliance policies and topics relevant to portfolio management.
  • On-going engagement with regulatory compliance professionals, daily compliance activity, analyzing transactions and portfolio holdings with respect to regulatory, client, and internal guidelines and calculating various risk parameters in order to:
    • Stay abreast of current trading practices/strategies
    • Effectively issue spot and actively support the Trade Floor
  • Facilitating regular training/communication on key policies and procedures including relevant updates
  • Evaluate efficiency of controls and improve them continuously

Position Requirements:

  • Minimum of a Bachelor's Degree (Accounting, Business, Finance or Economics preferred)
  • 5+ years of professional experience in compliance and the investment management industry
  • Advanced knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives.
  • Intermediate/advanced working knowledge of MS Excel.

  • Experience monitoring transactions in a compliance system is preferred
  • Experience as a portfolio manager/trader or trade associate at an investment management company is a plus
  • Advanced degree, CFA designation or active status in the CFA program is a plus

  • Identify practical solutions to compliance policy requirements
  • Approach issues with a compliance mindset
  • Highly motivated self-starter with the ability to work collaboratively and independently
  • Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization in an effective and collaborative manner
  • Quick learner and adaptable to learn new processes, concepts, and skills
  • Maintaining a strong commitment to quality and attention to details; ensuring that relevant work product is complete, accurate and on time.
  • Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output


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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