Pimco
VP, Compliance Officer - Alternatives (Newport Beach)
Pimco, Newport Beach, California, us, 92659
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
PIMCO is seeking a Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the investment adviser compliance program and compliance matters relating to PIMCO’s alternatives and private funds business. The position will be based in our corporate headquarters in Newport Beach, CA. Responsibilities
Support the development and implementation of PIMCO’s investment adviser compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally. Manage regulatory compliance aspects of PIMCO’s investment adviser compliance program, with a focus on the alternatives/private funds business. Implement and adapt the compliance program to respond to business needs and regulatory changes. Draft and implement policies, procedures, memos and internal and external communications. Participate in the Advisers’ and private funds’ risk assessment and testing program, including developing a risk matrix, documenting testing plans, executing testing of policies, procedures, and controls and identifying enhancements based on test results. Identify and address situations involving conflicts of interest. Work with various teams and departments including Legal, Portfolio Management, Operations, and client facing teams to identify and address regulatory matters. Maintain an understanding of investment adviser, investment company, and broker-dealer compliance policies, regulatory focus areas, and their relevance to PIMCO’s investment advisory business. Must take initiative in learning and applying new skills and regulations. Demonstrate integrity and a commitment to PIMCO’s values and ethical principles. Requirements
Bachelor’s degree or equivalent required; graduate degree or Juris Doctorate preferred. Several years of relevant experience in a major financial services firm or global asset manager, with a focus on private funds and alternative strategies. Comprehensive knowledge of regulatory frameworks applicable to U.S. investment managers and broker-dealers, including familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules. A solid background in various investment strategies, including fixed income, alternatives, derivatives, commodities, and equity across different investment products. Demonstrate initiative, integrity, and a commitment to PIMCO’s values and ethical principles. Excellent problem-solving skills. Excellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally. Intelligent, bright, critical thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas. Service-oriented; the ability to balance regulatory and policy standards along with a business perspective. 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 rapidly changing directions based on business demands. Team-oriented with a global mindset, cultural sensitivity, and proficiency in MS Office suite. 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: $ 122,000.00 - $ 195,000.00 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. 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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PIMCO is seeking a Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the investment adviser compliance program and compliance matters relating to PIMCO’s alternatives and private funds business. The position will be based in our corporate headquarters in Newport Beach, CA. Responsibilities
Support the development and implementation of PIMCO’s investment adviser compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally. Manage regulatory compliance aspects of PIMCO’s investment adviser compliance program, with a focus on the alternatives/private funds business. Implement and adapt the compliance program to respond to business needs and regulatory changes. Draft and implement policies, procedures, memos and internal and external communications. Participate in the Advisers’ and private funds’ risk assessment and testing program, including developing a risk matrix, documenting testing plans, executing testing of policies, procedures, and controls and identifying enhancements based on test results. Identify and address situations involving conflicts of interest. Work with various teams and departments including Legal, Portfolio Management, Operations, and client facing teams to identify and address regulatory matters. Maintain an understanding of investment adviser, investment company, and broker-dealer compliance policies, regulatory focus areas, and their relevance to PIMCO’s investment advisory business. Must take initiative in learning and applying new skills and regulations. Demonstrate integrity and a commitment to PIMCO’s values and ethical principles. Requirements
Bachelor’s degree or equivalent required; graduate degree or Juris Doctorate preferred. Several years of relevant experience in a major financial services firm or global asset manager, with a focus on private funds and alternative strategies. Comprehensive knowledge of regulatory frameworks applicable to U.S. investment managers and broker-dealers, including familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules. A solid background in various investment strategies, including fixed income, alternatives, derivatives, commodities, and equity across different investment products. Demonstrate initiative, integrity, and a commitment to PIMCO’s values and ethical principles. Excellent problem-solving skills. Excellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally. Intelligent, bright, critical thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas. Service-oriented; the ability to balance regulatory and policy standards along with a business perspective. 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 rapidly changing directions based on business demands. Team-oriented with a global mindset, cultural sensitivity, and proficiency in MS Office suite. 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: $ 122,000.00 - $ 195,000.00 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. 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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