Compliance Officer
1 week ago
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.
We have helped become one of the world's largest providers of traditional and non-traditional 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.
As a key member of PIMCO's Compliance team, the Deputy Chief Compliance Officer will have responsibility for providing strategic leadership and oversight for a broad range of compliance work, with particular emphasis on partnering with PIMCO's Global Chief Compliance Officer to administer the firm's Compliance Program.
The successful candidate will bring deep investment management expertise and will be expected to work closely with members of senior management to provide perspective, insights, and feedback on Compliance. In addition, the role will entail interaction with clients to discuss the firm's compliance program and initiatives.
This role will provide senior leadership across teams that implement key functions within the Compliance department. The role will frequently interact with members of senior management to provide perspective, insights, and feedback on Compliance. In addition, the role will entail interaction with clients to discuss the firm's compliance program and initiatives.
Ideally, the candidate will have meaningful leadership experience in a legal and compliance organization. This role will report to the Global Chief Compliance Officer.
This position requires an analytical professional who can:
• 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 the firm's relevant policies and procedures, in order to implement appropriate enhancements, where needed.
• 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. Develop teamwork and optimize the use of resources to achieve team or organizational objectives.
• 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
• Strong knowledge of trading activity, surveillance, and controls in a fast-paced complex multi-product trading environment.
• Quickly react and effectively partner with the trading desks around compliance requirements. Able to develop teamwork and optimize the use of resources to achieve team or organizational objectives.
• Demonstrate strong executive presence and polish with the ability to be immediately establish credibility with both internal and external stakeholders, with substantial participation in client meetings.
• Display effectiveness in identifying business risks; seeks relevant data, recognizing important information, and analyzing the impact and possible consequences.
Experience and Expertise: The ideal candidate must bring the following qualifications:
• 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 a plus.
• 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 the firm's core values and principles.
• Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands.
Industry Experience: Deep investment management expertise in the U.S. mutual fund space is essential, while experience working with alternatives, private funds, and other relevant financial products is a plus.
Regulatory Experience: Experience engaging with regulators, including SEC, CFTC, FINRA, or other financial regulators.
Leadership Experience: Successful track record of effectively leading and developing a high-performing team.
The successful candidate will possess the following personal attributes:
Executive Presence: Dynamic executive presence and communication skills at the senior leader level. Ability to effectively develop relationships with key executives and business partners.
Execution Orientation: Willingness to move quickly and flexibly to provide timely and practical advice. A creative problem-solver with strong analytical skills.
Collaborative: Excellent collaboration skills, with the ability to work effectively with both internal and external stakeholders, and with members of his/her team.
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: $250,000-$360,000
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