Experienced Marketing Compliance Reviewer
We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset classes, strategies and vehicles: fixed income, equities, commodities, asset allocation, ETFs, hedge funds and private equity. PIMCO is one of the largest investment managers, actively managing more than $2.22 trillion in assets for clients around the world. PIMCO has over 3,000 employees in 20 offices globally. PIMCO is recognized as an innovator, industry thought leader and trusted advisor to our clients.
PIMCO is one of the world's premier fixed income investment managers with thousands of professionals around the world united in a single purpose: creating opportunities for our clients in every environment. Since 1971, we have brought innovation and expertise to our partnership with the institutions, financial advisors and millions of individual investors who entrust us with their assets. We aspire to cultivate performance and leadership through empowering our people, diversity of thought, and a commitment to an inclusive culture that engages in our global communities. Position Description:
The Marketing Compliance Reviewer will be a member of the Compliance team within the Legal and Compliance Department at PIMCO's office in either Austin, TX or Solana Beach, CA.
The Reviewer is responsible for working with the Compliance Marketing team within PIMCO's Legal and Compliance Department to facilitate the review of the firm's marketing materials (including social media) and select third-party collateral. The candidate will primarily be responsible for assisting with the implementation of the compliance requirements for PIMCO's investment advisory and distribution activities, focusing on the review of marketing and advertising materials for compliance with regulatory requirements and/or internal compliance policies and procedures.
The role may also entail working on compliance initiatives as well as researching, recommending and participating in projects to help enhance PIMCO's compliance programs and processes. The candidate will work closely with teams and individuals across all functional areas within the firm as well as with non-U.S. offices.
The Compliance Reviewer must build solid internal relationships with members of the Legal & Compliance Team and strong partnerships with marketing communications, product management and operations. Keys to success for this role are the ability to multitask, strong organizational skills, the ability to provide accurate and direct practical advice in a timely fashion, as well as possessing strong communication skills (both written and verbal).
PIMCO has over 200 professionals globally in the Legal & Compliance department with teams in each of the regions in which the Firm has a presence. The teams work together closely to implement global solutions for legal and compliance issues.
You will be expected to interact with people across functions and at all levels of seniority and deal with issues in a "real time" and fast paced environment. Position Requirements:
- Minimum requirement Bachelor's Degree or international equivalent
- 2-7 years of marketing compliance experience with a large and diverse investment management firm or an investment management division of a financial services/ insurance company
- FINRA Licensing Requirement: Series 7 is required to be considered. Series 24 must be obtained within 90 days of employment. Series 63 may be required depending on experience and final responsibilities.
- Strong knowledge of regulatory requirements applicable to investment managers including the Investment Advisers Act and Investment Company Act (knowledge of Broker-Dealer compliance requirements a plus)
- Experience reviewing different types of institutional and retail marketing collateral including RFPs, registered fund materials, website & social media content, customized client presentations and distribution materials for the retail channel
- Experience with a diverse set of investment products (e.g., open-end mutual funds, collective investment trusts, closed-end funds, ETFs, interval funds, separate accounts and private funds) and strategies (e.g., fixed income, equities, derivatives, commodities and alternatives) required
- Familiarity with cross-border financial product offerings preferred
- Experience working independently (while collaborating with a broader team) and interacting with senior management
- 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
- Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO
PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and well-being of you and your family. Benefits vary by location but may include:
- Medical, dental, and vision coverage
- Life insurance and travel coverage
- 401(k) (defined contribution) retirement savings, retirement plan, pension contribution from your first day of employment
- Work/life programs such as flexible work arrangements, parental leave and support, employee assistance plan, commuter benefits, health club discounts, and educational/CFA certification reimbursement programs
- Community involvement opportunities with The PIMCO Foundation in each PIMCO office