Senior Compliance Offer, Email recruitment
Job ID: 12303
Position Description:
Senior Compliance Officer POSITION SUMMARY
The Senior Compliance Officer is responsible for working with the Regulatory Compliance team to facilitate PIMCO's Compliance Program. The candidate will be primarily responsible for managing and enhancing PIMCO's Email Monitoring Program. The role may also be involved with compliance initiatives such as efforts to streamline the business for efficiency, enhanced control environment, and mitigate potential compliance risks. 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 Senior Vice President of Compliance Risk and Controls and is based in Newport Beach, CA. RELATIONSHIPS
The Senior Compliance Officer 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 frequently interact with members of Senior Management to provide perspective, insights and feedback on issues related to email monitoring. The candidate will also work with technology and service providers to refine the email monitoring system. EDUCATION AND EXPERIENCE Education An undergraduate or degree in Accounting, Business, Finance, Economics or other related field is required. Advanced degree is preferred. Experience
- Eight to ten 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 implementing/enhancing email monitoring programs/systems.
- Series of progressive roles in operations, compliance, and/or related functions and a proven track record of success.
- Working knowledge of regulatory requirements applicable to investment management firms.
- Experience with compliance programs under Rule 206(4)-7 of the Investment Advisers Act and 38a-1 of the Investment Company Act a plus]
- Led major initiatives and projects across functional areas globally.
- Previous compliance knowledge in the following areas are a plus; annual compliance program reviews, forensic testing/trade surveillance, audits, service provider oversight, regulatory examinations, distressed business units, private equity deals, sub-advisory relationships. PRINCIPAL DUTIES AND ESSENTIAL FUNCTIONS The Senior Compliance Officer is responsible for working with PIMCO's compliance team. This position requires a diplomatic and analytical professional who can:
- [Assist with the execution of PIMCO's Compliance Program.]
- [Maintain policies and procedures and make changes to the compliance program based on regulatory developments.]
- [Assist in monitoring controls and identifying/mitigating potential conflicts of interest.] COMPETENCIES AND PERSONAL CHARACTERISTICS] The Senior Compliance Officer needs to:
- [Be able to develop teamwork and optimize the use of resources to achieve team or organizational objectives. Lead by persuasion and example.]
- [Be effective in a variety of formal and informal presentation settings: one-on-one, small and large groups, with peers, direct reports, and bosses; is effective both inside and outside the organization; commands attention and can manage group process during the presentation; can change tactics midstream when something isn't working]
- [Display effectiveness in identifying business risks; seeks relevant data, recognizing important information, and analyzing the impact and possible consequences.]
- [Plan, track, manage, and report the implementation of programs and projects, including associated resources, using established project management tools, techniques and/or software.]
- [Know the details of the business and understands all factors that impact the business; has the functional and technical knowledge and skills to do the job at a high level of accomplishment.]
- [Be able to prioritize multiple tasks and demonstrate timely follow-up.]
- [Be extremely cognizant of the sensitive nature of the information they are reviewing and have the upmost personal integrity.]
Pimco is an equal opportunity employer.
- [Be extremely cognizant of the sensitive nature of the information they are reviewing and have the upmost personal integrity.]
- [Be able to prioritize multiple tasks and demonstrate timely follow-up.]
- [Know the details of the business and understands all factors that impact the business; has the functional and technical knowledge and skills to do the job at a high level of accomplishment.]
- [Plan, track, manage, and report the implementation of programs and projects, including associated resources, using established project management tools, techniques and/or software.]
- [Display effectiveness in identifying business risks; seeks relevant data, recognizing important information, and analyzing the impact and possible consequences.]
- [Be effective in a variety of formal and informal presentation settings: one-on-one, small and large groups, with peers, direct reports, and bosses; is effective both inside and outside the organization; commands attention and can manage group process during the presentation; can change tactics midstream when something isn't working]
- [Be able to develop teamwork and optimize the use of resources to achieve team or organizational objectives. Lead by persuasion and example.]
- [Assist in monitoring controls and identifying/mitigating potential conflicts of interest.] COMPETENCIES AND PERSONAL CHARACTERISTICS] The Senior Compliance Officer needs to:
- [Maintain policies and procedures and make changes to the compliance program based on regulatory developments.]
- [Assist with the execution of PIMCO's Compliance Program.]
- Previous compliance knowledge in the following areas are a plus; annual compliance program reviews, forensic testing/trade surveillance, audits, service provider oversight, regulatory examinations, distressed business units, private equity deals, sub-advisory relationships. PRINCIPAL DUTIES AND ESSENTIAL FUNCTIONS The Senior Compliance Officer is responsible for working with PIMCO's compliance team. This position requires a diplomatic and analytical professional who can:
- Led major initiatives and projects across functional areas globally.
- Experience with compliance programs under Rule 206(4)-7 of the Investment Advisers Act and 38a-1 of the Investment Company Act a plus]
- Working knowledge of regulatory requirements applicable to investment management firms.
- Series of progressive roles in operations, compliance, and/or related functions and a proven track record of success.
- Experience with implementing/enhancing email monitoring programs/systems.
- Experience with reviewing emails across multiple and complex business units.