Deputy Chief Compliance Officer

3 days ago


Newport Beach, California, United States PIMCO Full time

About the Role:

PIMCO, a global leader in active fixed income, seeks a highly experienced Deputy Chief Compliance Officer to join our Compliance team. As a key member of our organization, you will provide strategic leadership and oversight for a broad range of compliance work, partnering with our Global Chief Compliance Officer to administer our Compliance Program.

Key Responsibilities:

  • Lead various aspects of PIMCO's Investment Adviser compliance program, including managing a team of junior to senior-level compliance officers.
  • Implement and enforce compliance policies, including overseeing the quant compliance, trade surveillance program, and e-surveillance programs, and continually evaluate the efficacy of our relevant policies and procedures.
  • Coordinate implementation of new or revised regulatory requirements relevant to our business.
  • Provide regular reporting to our Legal and Compliance senior executives and other relevant stakeholders in relation to compliance risks and our compliance program.
  • Assist with the development and execution of compliance projects and the implementation of strategic initiatives.
  • Effectively partner with our trading desks around compliance requirements, develop teamwork, and optimize the use of resources to achieve team or organizational objectives.
  • Identify business risks, seek relevant data, recognize important information, and analyze the impact and possible consequences.
  • Develop, mentor, and lead a team of top talent compliance professionals.

Requirements:

  • Excellent academic credentials, including a J.D.
  • Significant compliance experience with a large and diverse investment management firm.
  • Strong knowledge of regulatory requirements applicable to investment management firms.
  • Strong background in fixed income instruments and derivatives.
  • Prior experience in a multi-product global firm offering a range of investment products.
  • Prior involvement in the implementation of compliance programs under Rule of the Investment Advisers Act.
  • Management experience with direct supervision of a team.
  • A series of progressive roles in compliance and a proven track record of success.
  • Strong sense of integrity and capable of performing consistent with our core values and principles.

About PIMCO:

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 Culture:

We celebrate diverse thinking and invest in our people, striving to imprint our CORE values of Collaboration, Openness, Responsibility, and Excellence. We believe each of us is here to help others succeed, leading to PIMCO being recognized as an innovator, industry thought leader, and trusted advisor to our clients.



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