Deputy Chief Compliance Officer

3 weeks ago

Newport Beach, California, 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.

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.
  • Identify business risks; seek relevant data, recognizing important information, and analyzing the impact and possible consequences.
  • Develop, mentor, and lead a team of top talent compliance professionals.
  • Demonstrate strong executive presence and polish with the ability to establish credibility with both internal and external stakeholders.
  • Display effectiveness in identifying business risks; seek 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 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.

The successful candidate will possess the following personal attributes:

  • Dynamic executive presence and communication skills at the senior leader level.
  • 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.

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:

$250,000.00 - $360,000.00

Equal Employment Opportunity and Affirmative Action Statement


PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws.

Applicants with Disabilities


PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures.

#J-18808-Ljbffr


PIMCO

  • Deputy Chief Compliance Officer

    4 weeks ago

    Newport Beach, California, United States caia - Jobboard Full time

    Job Title: Deputy Chief Compliance OfficerPIMCO is a global leader in active fixed income with deep expertise across public and private markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and non-traditional solutions for companies that need financing and investors...

  • Deputy Chief Compliance Officer

    4 weeks ago

    Newport Beach, California, United States International Erosion Control Association Full time

    Job SummaryWe are seeking a highly skilled 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 ResponsibilitiesLead various aspects...

  • Deputy Chief Compliance Officer

    4 weeks ago

    Newport Beach, California, United States PIMCO Full time

    Job SummaryPIMCO is seeking a highly experienced Deputy Chief Compliance Officer to join our Compliance team. As a key member of our organization, you will be responsible for providing strategic leadership and oversight for a broad range of compliance work, with a focus on partnering with our Global Chief Compliance Officer to administer our Compliance...

  • Deputy Chief Compliance Officer

    3 weeks ago

    Newport Beach, California, 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...

  • Deputy Chief Compliance Officer

    4 weeks ago

    Newport Beach, California, United States PIMCO Full time

    Job DescriptionPIMCO 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...

  • Chief Compliance Officer

    3 weeks ago

    Newport Beach, California, United States PIMCO Full time

    Compliance Leadership Opportunity at PIMCOPIMCO is a global leader in active fixed income with deep expertise across public and private markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and non-traditional solutions for companies that need financing and investors...

  • Chief Financial Officer

    3 weeks ago

    Newport Beach, California, United States Amaze Software Inc. Full time

    Chief Financial Officer Job DescriptionAmaze Software Inc. is seeking a highly skilled Chief Financial Officer to lead our financial operations and drive business growth. As a key member of our Executive Leadership Team, you will be responsible for overseeing all company financial activities, including financial planning and analysis, accounting, budgeting,...

  • Chief Information Officer

    3 weeks ago

    Newport Beach, California, United States Predictionprobe Full time

    PredictionProbe Engages Talent IndividualsPredictionProbe is a multicultural company that engages talented individuals who strongly desire achievement and personal growth. We are always looking for promising new team members who share our vision and can help us move forward.Chief Information Officer (CIO)QualificationsA Master's degree in Computer Science or...

  • Chief Financial Officer

    18 hours ago

    Newport Beach, California, United States Prodigy Search Group Full time

    Job Summary:The Chief Financial Officer (CFO) at Prodigy Search Group will lead a talented team, managing direct reports and staff across finance, operations, and information technology departments. This collaborative position will partner with senior leadership to drive impact and synergize the business.

  • Chief Information Officer

    4 weeks ago

    Newport Beach, California, United States Trumark Companies Full time

    Job SummaryTrumark Companies seeks a seasoned Chief Information Officer to develop and implement a forward-thinking IT strategy that drives business growth and innovation.Key Responsibilities:Lead the development of a comprehensive IT strategy that aligns with the company's business objectives.Oversee the planning and implementation of IT projects, ensuring...

  • Chief Operating Officer

    4 weeks ago

    Long Beach, California, United States Conexus Recruiting Full time

    Job Title: Chief Operating OfficerConexus Recruiting is seeking a seasoned Chief Operating Officer to join our client's executive council. As a key member of the leadership team, you will play a critical role in driving the company's vision, mission, and objectives.Job Summary:The Chief Operating Officer will be responsible for overseeing the company's...

  • Chief Financial Officer

    4 weeks ago

    Long Beach, California, United States FAI Full time

    Job Title: Chief Financial OfficerWe are seeking a highly skilled and experienced Chief Financial Officer to join our team at the Food Allergy Institute. As a key member of our leadership team, you will be responsible for developing and implementing our financial strategy, ensuring the long-term sustainability and growth of our organization.Key...

  • Chief of Staff

    4 weeks ago

    Newport Beach, California, United States 041 Agency Full time

    About 041 AgencyWe are a digital agency that specializes in crafting bespoke digital strategies that drive real, measurable results. Our team is dedicated to blending creativity with data-driven insights to develop campaigns that resonate with audiences and deliver a lasting impact.About This JobAs the Chief of Staff at 041 Agency, you will be the right-hand...

  • Chief Financial Officer

    4 weeks ago

    Newport Beach, California, United States Regal Executive Search Full time

    Job Title: CFOWe are seeking an experienced and highly motivated executive to lead the finance and accounting functions across multiple offices as a CFO in our Newport Beach, CA office.The position will collaborate with the Leadership Team, the Board of Directors, and the Accounting Team to drive financial growth and success.The selected candidate will join...

  • Chief Development Officer

    3 weeks ago

    Pebble Beach, California, United States NCGA, Youth on Course, & Poppy Holding, Inc. Full time

    Chief Development OfficerAt Youth on Course, we believe in creating a future where golf is an inclusive and accessible experience for every young person. Our organization has made significant strides in achieving this vision, with over 230,000 international youth members and a network of 2,100 golf courses. We are now seeking a highly motivated and...

  • Compliance Associate IT Governance

    4 weeks ago

    Newport Beach, California, United States Hyundai Capital America Full time

    Job SummaryThe IT Governance, Risk and Compliance Associate will play a crucial role in ensuring compliance with all relevant laws, regulations, and internal policies within the Digital Division's IT Governance, Risk and Compliance area of Hyundai Capital. This position involves developing and implementing compliance strategies and policies, identifying...

  • Chief Executive Officer Support Specialist

    4 weeks ago

    Long Beach, California, United States Artemis Professionals, LLC Full time

    Job OverviewWe are seeking a highly skilled and resourceful Executive Assistant to support our Chief Executive Officer in day-to-day operations. The ideal candidate will have a strong ability to navigate complex environments, take initiative, and provide bespoke services to senior leaders and external partners.Key ResponsibilitiesManage the CEO's schedule to...

  • Executive Assistant to Police Chief

    4 weeks ago

    Hermosa Beach, California, United States City of Hermosa Beach Isai Full time

    Job SummaryWe are seeking a highly skilled and experienced Executive Assistant to Police Chief to join our team at the City of Hermosa Beach Isai. This is a unique opportunity to work in a fast-paced and dynamic environment, providing administrative support to the Chief of Police and Command staff.Key ResponsibilitiesPerform a wide range of executive...

  • Compliance Officer of the Housing Authority

    4 weeks ago

    Long Beach, California, United States City of Long Beach Full time

    Job SummaryThe City of Long Beach is seeking a highly skilled Compliance Officer to join our Housing Authority team. As a Compliance Officer, you will play a critical role in ensuring that our Housing Choice Voucher (Section 8) Program operates within all federal, state, and local regulatory requirements.Key Responsibilities• Ensure compliance with all...

  • Deputy City Clerk

    4 weeks ago

    Hermosa Beach, California, United States City of Hermosa Beach Isai Full time

    Job SummaryThe City of Hermosa Beach is seeking a highly skilled and experienced Deputy City Clerk to provide administrative support to the City Clerk's Office. This is a critical role that requires strong organizational and communication skills, as well as the ability to work effectively in a fast-paced environment.Key ResponsibilitiesAssist the City Clerk...