Senior Compliance Leader for Investment Management

3 weeks ago


Newport Beach, California, United States PIMCO Full time
About PIMCO

PIMCO 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 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.

Job Overview

We are seeking a Senior Compliance Leader for Investment Management to join our Compliance team. The ideal candidate will bring deep investment management expertise and experience leading teams to administer compliance programs.

This role will provide senior leadership across teams that implement key functions within the Compliance department. The successful candidate will work closely with members of senior management to provide perspective, insights, and feedback on Compliance. They will also interact with clients to discuss the firm's compliance program and initiatives.

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 the firm's relevant policies and procedures.
  • 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.
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.
What We Offer

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.

The estimated salary for this role is $250,000 - $360,000 per year.



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