Regulatory Compliance Associate/Senior Associate – Client Reporting

  • Competitive
  • Newport Beach, CA, États-Unis
  • CDI, Plein-temps
  • Pimco
  • 23 nov. 17 2017-11-23

Regulatory Compliance Associate/Senior Associate – Client Reporting

Position Description

The Compliance Associate/Senior Associate will be a member of the Regulatory Compliance team within the Legal and Compliance Department at PIMCO's headquarters in Newport Beach, CA, responsible for working to facilitate PIMCO's compliance program. The candidate will primarily be responsible for responding to client and prospect inquiries, focusing on the review of due diligence questionnaires, client certifications and RFPs/RFIs, as they relate to specific compliance topics and the broader compliance program.

The ideal candidate will be the primary global liaison for PIMCO's Legal and Compliance team's policy and procedure responses, with a focus on the completion of routine and ad hoc regulatory inquiries as it pertains to all of PIMCO's investment vehicles, in a deadline-driven environment. This includes separate accounts, SMA accounts, open-end and closed-end vehicles. The candidate will be responsible for working across business units and jurisdictions to provide legal and compliance responses, manage due diligence questionnaires, certifications, sub-advisor 15(c) requests and Board reporting on a recurring monthly, quarterly, annual or ad hoc basis. Additionally, this role will assist in supporting the Compliance Program Oversight team in various capacities (e.g., compliance policy and procedure management, 206(4)-7 / 38a-1 annual compliance program reviews and testing, etc.) as opportunities present themselves.

Position Requirements

  • An Undergraduate degree in Accounting, Business, Finance, Economics, or other related field required
  • Four + years compliance experience with a large and diverse investment management firm
  • Working knowledge of regulatory requirements applicable to investment managers including the Investment Advisers Act, the Investment Company Act and familiarity with the requirements under rules 206(4)-7 and 38a-1
  • Familiarity with PIMCO products and relationships

QUALIFICATIONS / SKILL SETS
  • Attention to detail and ability to "connect the dots" to see the larger picture
  • Desire to take initiative and streamline processes for efficiency
  • Professional demeanor in both low-stress and highly charged situation, managing multiple, competing priorities to completion
  • Ability to multi-task and successfully meet multiple competing demands often under tight deadlines
  • Adaptable to environment, awareness of target audience and situational nuances
  • Communicate effectively with all levels of staff, internal and external (including clients, regulators, auditors, board members)
  • Demonstrated ability to execute projects/initiatives in a focused and highly tactical manner
  • Ability to flourish in a challenging, fast-paced and professional environment with frequent shifts in priorities as business needs dictate
  • Focus on specific personal and team goals and demonstrate a sense of personal growth, accountability and urgency for achieving results
  • Promote a positive attitude and display a sense of teamwork
  • Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO


We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.