LGBT Great
Deputy, Chief Compliance Officer
LGBT Great, California, Missouri, United States, 65018
Deputy, Chief Compliance Officer
at PIMCO
On-site
Newport Beach, California, United States Full time Posted 2 days ago
Description
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. As a key member of PIMCO’s Compliance team, the Deputy Chief Compliance Officer will have responsibility for providing strategic leadership and oversight for a broad range of compliance work, with particular emphasis on partnering with PIMCO’s Global Chief Compliance Officer to administer the firm’s Compliance Program. The successful candidate will bring deep investment management expertise and will be expected to work closely with members of senior management to provide perspective, insights, and feedback on Compliance. This role will provide senior leadership across teams that implement key functions within the Compliance department and will frequently interact with members of senior management and clients. Responsibilities
Lead various aspects of PIMCO’s Investment Adviser compliance program, including managing a team of junior to senior-level compliance officers. Implement and enforce compliance policies, including overseeing the quant compliance, trade surveillance program, and e-surveillance programs. Coordinate implementation of new or revised regulatory requirements relevant to PIMCO’s business. Provide regular reporting to the Legal and Compliance senior executives and other relevant stakeholders in relation to compliance risks and the compliance program. Assist with the development and execution of compliance projects and the implementation of strategic initiatives. Effectively partner with the trading desks around compliance requirements. Identify business risks; seek relevant data, recognizing important information, and analyzing the impact and possible consequences. Develop, mentor, and lead a team of top talent compliance professionals. Experience and Expertise
Excellent academic credentials, including a J.D. Significant compliance experience with a large and diverse investment management firm. Strong knowledge of regulatory requirements applicable to investment management firms. Strong background in fixed income instruments, and derivatives. Prior experience in a multi-product global firm offering a range of investment products. Prior involvement in the implementation of compliance programs under Rule 206(4)-7 of the Investment Advisers Act. Management experience with direct supervision of a team. Strong sense of integrity, capable of performing consistent with the firm’s core values and principles. Industry Experience
Deep investment management expertise in the U.S. mutual fund space is essential, while experience working with alternatives, private funds, and other relevant financial products is a plus. Regulatory Experience
Experience engaging with regulators, including SEC, CFTC, FINRA, or other financial regulators. Leadership Experience
Successful track record of effectively leading and developing a high-performing team. Personal Attributes
Dynamic executive presence and communication skills at the senior leader level. Willingness to move quickly and flexibly to provide timely and practical advice. Excellent collaboration skills, with the ability to work effectively with both internal and external stakeholders. PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Salary Range: $250,000.00 - $360,000.00. PIMCO is an Equal Employment Opportunity/Affirmative Action employer.
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at PIMCO
On-site
Newport Beach, California, United States Full time Posted 2 days ago
Description
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. As a key member of PIMCO’s Compliance team, the Deputy Chief Compliance Officer will have responsibility for providing strategic leadership and oversight for a broad range of compliance work, with particular emphasis on partnering with PIMCO’s Global Chief Compliance Officer to administer the firm’s Compliance Program. The successful candidate will bring deep investment management expertise and will be expected to work closely with members of senior management to provide perspective, insights, and feedback on Compliance. This role will provide senior leadership across teams that implement key functions within the Compliance department and will frequently interact with members of senior management and clients. Responsibilities
Lead various aspects of PIMCO’s Investment Adviser compliance program, including managing a team of junior to senior-level compliance officers. Implement and enforce compliance policies, including overseeing the quant compliance, trade surveillance program, and e-surveillance programs. Coordinate implementation of new or revised regulatory requirements relevant to PIMCO’s business. Provide regular reporting to the Legal and Compliance senior executives and other relevant stakeholders in relation to compliance risks and the compliance program. Assist with the development and execution of compliance projects and the implementation of strategic initiatives. Effectively partner with the trading desks around compliance requirements. Identify business risks; seek relevant data, recognizing important information, and analyzing the impact and possible consequences. Develop, mentor, and lead a team of top talent compliance professionals. Experience and Expertise
Excellent academic credentials, including a J.D. Significant compliance experience with a large and diverse investment management firm. Strong knowledge of regulatory requirements applicable to investment management firms. Strong background in fixed income instruments, and derivatives. Prior experience in a multi-product global firm offering a range of investment products. Prior involvement in the implementation of compliance programs under Rule 206(4)-7 of the Investment Advisers Act. Management experience with direct supervision of a team. Strong sense of integrity, capable of performing consistent with the firm’s core values and principles. Industry Experience
Deep investment management expertise in the U.S. mutual fund space is essential, while experience working with alternatives, private funds, and other relevant financial products is a plus. Regulatory Experience
Experience engaging with regulators, including SEC, CFTC, FINRA, or other financial regulators. Leadership Experience
Successful track record of effectively leading and developing a high-performing team. Personal Attributes
Dynamic executive presence and communication skills at the senior leader level. Willingness to move quickly and flexibly to provide timely and practical advice. Excellent collaboration skills, with the ability to work effectively with both internal and external stakeholders. PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Salary Range: $250,000.00 - $360,000.00. PIMCO is an Equal Employment Opportunity/Affirmative Action employer.
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