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.
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.
Role Overview
PIMCO is seeking a dynamic Compliance Officer to join its global compliance team within the Legal and Compliance Department. This role will support the U.S. Registered Funds program, which includes open-end funds, exchange-traded funds (ETFs), closed-end funds, business development companies (BDCs), and interval funds. The successful candidate will be based in one of PIMCO's U.S. offices and will play a critical role in ensuring compliance with regulatory standards and internal policies.
Responsibilities
Support the development and implementation of the U.S. Registered Funds compliance program, collaborating with the Legal and Compliance Department to evaluate risks and adherence to policies and procedures by relevant business groups and service providers
Participate in the ongoing implementation and execution of the Fund's risk assessment and testing program, including:
Assessing key business processes and critical business risks and controls
Documenting a written testing plan and compliance testing procedures
Executing testing of procedures and internal controls in critical business areas
Evaluating, documenting, and presenting results of test work
Identifying enhancements and remedial actions to address compliance observations
Assist with the oversight of the Fund's service providers by executing due diligence as determined by the Fund's Chief Compliance Officer (CCO) and members of the Legal and Compliance department, including:
Reviewing relevant service provider policies and procedures, including material changes
Reviewing periodic certifications and annual due diligence questionnaires to identify issues for escalation and resolution
Executing surveillance to monitor key risks and controls related to Fund service providers
Monitoring issues and documenting resolutions for recordkeeping and reporting purposes
Assisting in coordination meetings with business stakeholders responsible for service providers
Collect information to assist in the efficient preparation of quarterly, annual, and periodic reporting to the Board of Independent Trustees
Collaborate with various teams and departments, including Legal and Operations, to identify and address regulatory matters
Take initiative in learning and applying new skills and regulations
Uphold a strong sense of integrity, consistently aligning with PIMCO's values and ethical principles
Requirements
Bachelor's degree or equivalent
Approx. 3-5 years of work experience focused on Registered '40 Act products, ideally within a global bank, major financial services firm, or global asset manager
Prior experience with '40 Act products, including the fund types mentioned
Proficient in MS Office Suite, including Word and Excel
General knowledge of regulatory requirements applicable to U.S. investment managers and broker-dealers, including the Investment Company Act of 1940 and Investment Advisers Act (knowledge of FINRA rules is a plus)
Strong background in fixed income, alternatives, derivatives, commodities, and equity strategies offered in various investment products
Excellent communication and presentation skills, with the ability to articulate clear ideas and strategies
Strong analytical and issue-spotting skills, with a critical thinking mindset
Ability to balance regulatory and policy standards with a practical business perspective
Highly motivated self-starter willing to identify opportunities for enhancement
Exceptional organizational skills, with the ability to prioritize tasks, follow up, produce accurate work, and meet strict deadlines
Highly flexible and multi-task oriented, capable of adapting to changing business demands
Consensus builder and team player with cultural sensitivity to work effectively in a global organization
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. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable 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. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.
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