Compliance Officer
$137,500 - $195,000 / year
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Job 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. 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.
Location: Newport Beach, CA (Corporate Headquarters)
Department: U.S. Control Group
Main Purpose
The role supports PIMCO’s MNPI Policy and information barriers as a key member of the Control Group, ensuring compliance with regulatory requirements and firm policies. This position is critical in safeguarding confidential information, managing trading restrictions, and maintaining robust compliance frameworks across the organization.
Key Responsibilities
Information Barrier Management:
Implement and monitor PIMCO’s information barriers.
Assist with maintaining restricted trading lists and manage trading restrictions.
Compliance Oversight:
Identify and escalate compliance issues, including violations, to senior management.
Manage and implement PIMCO’s Expert Network procedures, including providing training to business users and liaising with providers.
Assist with handling planned and inadvertent receipt of MNPI.
Policy & Documentation:
Draft and maintain compliance policies, procedures, governance documents, and memos.
Prepare internal and external communications related to compliance matters.
Training & Education:
Deliver compliance training (live and online) to Personnel about PIMCO’s MNPI Policy, information barriers, and related topics.
Maintain and enhance MNPI-related training modules educational content.
Cross-Functional Collaboration:
Work closely with colleagues from Legal and Compliance teams, Portfolio Management, Trade floor, Alternatives Business Management and Capital Markets, Client-Facing teams, and Product Strategies (and others) to address inquiries and time-sensitive compliance matters.
Process Improvement:
Identify and implement process enhancements, including technology solutions, to reduce manual work.
Role Requirements
Education: Bachelor’s degree required.
Experience: Minimum 5 years in regulatory compliance at highly regulated investment management firms, investment banks, or top-tier U.S. law firms.
Technical Knowledge: Understanding of securities laws related to insider trading and market abuse. Familiarity with U.S. regulatory requirements, including the Investment Advisers Act of 1940.
Industry Background: Exposure to fixed income, alternatives, derivatives, commodities, or equity strategies across various investment products (mutual funds, ETFs, separate accounts, private funds).
Personal Attributes: High integrity aligned with PIMCO’s values and ethical principles. Ability to work independently and within a matrixed organization in a fast-paced environment. Detail-oriented with a proactive approach to problem-solving and process improvement. Flexible and adaptable to shifting priorities and business demands.
Professional Skills
Strong analytical, organizational, and communication skills (written and oral).
Experience in development of reports and data analysis, including knowledge of MSBI (Power Bi/SSRS) tools. Knowledge of SQL is a plus.
Familiarity with the application and use of various AI tools and prompts.
Experience using the Bloomberg terminal.
Skilled in drafting clear, concise, and error-free compliance materials.
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. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable 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.
Automate your job search with Sonara.
Submit 10x as many applications with less effort than one manual application.