Compliance Officer, Email & Testing recruitment

Job ID: 10450

Position Description:
[Compliance Officer/Associate]

[POSITION SUMMARY]

The Compliance Officer/Associate is responsible for working with the Regulatory Compliance team to facilitate PIMCO's Compliance Program. The candidate will be primarily responsible for supporting PIMCO's Email Monitoring and Forensic Testing Programs The role would also require working on compliance initiatives as well as support efforts to streamline the business for efficiency, enhanced control environment, and mitigate potential risks. The candidate will work closely with teams and individuals across all functional areas within the firm as well as with non-US offices.

[RELATIONSHIPS]

The candidate must build solid internal relationships with members of the Legal Compliance Team and strong partnerships with Account Managers, Portfolio Managers, and Business Management to manage sensitive compliance issues within the firm. The role will also frequently interact with technology and service providers to refine the email monitoring and testing programs.

[EDUCATION AND EXPERIENCE]

[Education]

An undergraduate or degree in Accounting, Business, Finance, Economics or other related field is required. Advanced degree is preferred.

[Experience]

  • [Six to eight years of experience with a large and diverse investment management firm with a background in fixed income and equities.]
    • [Experience with reviewing emails across multiple and complex business units.]
      • [Experience with designing forensic tests as well as analyzing/interpreting results for escalation and resolution.]
        • [Series of progressive roles in operations, compliance, and/or related analytical functions with a proven track record of success.]
          • [Experience with compliance programs under Rule 206(4)-7 of the Investment Advisers Act and 38a-1 of the Investment Company Act a plus.]
            • [Exposure in the following areas are a plus; annual compliance program reviews, audits/regulatory examinations, service provider oversight, distressed business units, private equity deals, sub-advisory relationships.]

              Pimco is an equal opportunity employer.