Deputy Chief Compliance Officer

15 hours ago

Newport Beach, California, United States PIMCO Full time
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.

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.

Key Responsibilities
  • Provide 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.
  • Work closely with members of senior management to provide perspective, insights and feedback on Compliance.
  • Interact with clients to discuss the firm's compliance program and initiatives.
  • 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.
  • 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.
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 206(4)-7 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 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.

Personal Attributes
  • Dynamic executive presence and communication skills at the senior leader level.
  • Ability to effectively develop relationships with key executives and business partners.
  • Willingness to move quickly and flexibly to provide timely and practical advice.
  • Excellent collaboration skills, with the ability to work effectively with both internal and external stakeholders, and with members of his/her team.

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