Regulatory Compliance Officer
Job ID: 13182
Position Description:
The Compliance Officer is responsible for working with the Regulatory Compliance team to facilitate PIMCO's compliance program. The candidate will primarily be responsible for assisting with the implementation of the compliance requirements for PIMCO's investment advisory activities in the New York office.
The role will also require working on compliance initiatives as well as providing direct regulatory compliance support to portfolio management activities. The candidate will work closely with teams and individuals across all functional areas within the firm as well as with non-US offices. This position reports directly to the Vice President and Senior Compliance Officer responsible for investment advisory activities in the New York office.
A qualified candidate will have extensive investment advisory compliance experience with an institutional global asset manager that offers a diverse investment platform (multiple asset classes and product types).
The Compliance Officer must build solid internal relationships with members of the Legal Compliance Team and strong partnerships with trade floor personnel, product management and account management to identify and manage compliance within the firm. Key to the success of this role is the ability to multitask and possess strong communication skills (both written and verbal).
Position Requirements:
Education
An undergraduate degree is required.
Experience
• Five to eight years of experience with a large and diverse investment management firm experience.
• Strong knowledge of regulatory requirements applicable to investment managers including: Rule 206(4)-7 of the Investment Advisers Act and Rule 38a-1 of the Investment Company Act
• Strong background in fixed income instruments, derivatives and equities
• Experience with applying investment guidelines/restrictions and regulatory requirements to a portfolio of securities (registered investment companies, institutional separate accounts, ETFs, WRAP/ managed accounts)
• Experience with drafting, implementing and monitoring compliance policies and procedures
• Demonstrated ability to execute projects/initiatives in a focused and highly tactical manner
SKILLS
• Strong Microsoft office and Bloomberg experience required
PIMCO is an equal opportunity employer. .
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