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Deputy Chief Compliance Officer
2 months ago
PIMCO, a global leader in active fixed income, seeks a seasoned Deputy Chief Compliance Officer to provide strategic leadership and oversight for a broad range of compliance work. This role requires a deep understanding of investment management expertise and the ability to work closely with senior management to provide perspective, insights, and feedback on Compliance.
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.
- Coordinate implementation of new or revised regulatory requirements relevant to PIMCO's business.
- Provide regular reporting to the Legal and Compliance senior executives and other relevant stakeholders in relation to compliance risks and the compliance program.
- Assist with the development and execution of compliance projects and the implementation of strategic initiatives.
- Effectively partner with the trading desks around compliance requirements.
- Identify business risks; seeks relevant data, recognizing important information, and analyzing the impact and possible consequences.
- Develop, mentor, and lead a team of top talent compliance professionals.
- 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 206(4)-7 of the Investment Advisers Act.
- Experience with mutual fund compliance programs under Rule 38a-1 of the Investment Company Act is a plus.
- Management experience with direct supervision of a team.
- A series of progressive roles in compliance and a proven track record of success.
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.
What We OfferPIMCO 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.
