Analyst, Trade Compliance

3 weeks ago

Newport Beach, United States PIMCO Full time

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.

POSITION DESCRIPTION:
Do you love to learn? Do you enjoy problem solving? Do you like to innovate? Then this is an exciting opportunity for you to work in a fast-paced, dynamic workplace with a diverse group of highly motivated and intelligent professionals. In this role, you will learn about trades, trade strategies, the impact of trades to client portfolios, and the implementation of rules and regulations. The Trade Compliance team is responsible for reviewing fixed-income and equity trades, on a pre and post trade basis, to ensure compliance with applicable restrictions. The Analyst will have broad exposure to the entire Investment Guideline Compliance process. Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Technology, Account Management, Product Strategy and the Trade Floor.

On a given day, your responsibilities might include:

- Analyzing transactions and portfolio holdings with respect to regulatory, client, and internal guidelines and calculating various risk parameters
- Researching and addressing inquiries related to investment guidelines from the Trade Floor and other internal/external parties
- Confirming all trades are compliant by the end of each business day
- Preparing various reports on a daily basis to relevant internal groups
- Participating in numerous ad hoc projects tied to optimizing and automating the Trade Compliance process

You will excel in this role if you:

- Hold a strong sense of honesty and integrity
- Learn and adapt to new processes, concepts, and skills quickly
- Exhibit a strong commitment to quality and attention to detail
- Possess excellent communication and interpersonal skills
- Display a desire to take initiative and contribute to the department and the organization

You will need this experience:

- Minimum of a Bachelor’s Degree (Accounting, Business, Finance or Economics preferred)
- 0 - 3 years of professional experience in compliance or the investment management industry
- Basic knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives
- Intermediate/advanced working knowledge of MS Excel

Lastly, here are additional qualifications that are helpful, but not required:

- Experience monitoring transactions in a compliance system is ideal
- Exposure to querying, particularly with SQL and Business Objects
- Experience with Bloomberg
- CFA designation or active status in the CFA program is a plus

PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.

Salary Range: $ 71,500.00 - $ 81,000.00

Equal Employment Opportunity and Affirmative Action Statement

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