Vice President, Compliance Officer

Vice President, Compliance Officer

at PIMCO

On-site Newport Beach, California, United States Full-time Posted 3 months ago

Description

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. Position Overview PIMCO is seeking a seasoned VP, Compliance Officer to join our global Legal and Compliance team. This role will focus on enhancing and managing the investment adviser compliance program, with a particular emphasis on compliance related to the Employee Retirement Income Security Act of 1974 (ERISA), among other regulatory areas. The successful candidate will lead critical components of the investment adviser and ERISA compliance programs, including policy development, surveillance and monitoring, conflict of interest management, governance, training, and regulatory liaison activities. Key Responsibilities Lead and support the global investment adviser compliance program, collaborating closely with Compliance teams worldwide to drive program enhancements and ensure global consistency Provide expert guidance on regulatory compliance for the firm’s separate accounts and alternatives / private funds businesses, including ERISA plan compliance Manage and lead the team responsible for core investment adviser compliance functions such as ERISA compliance, monitoring and surveillance, global policy implementation, regulatory risk assessment, annual risk assessments, testing, and compliance program reviews Draft, review, and implement compliance policies, procedures, memos, and both internal and external communications Oversee compliance requirements related to PIMCO’s status as a Qualified Professional Asset Manager (QPAM) Partner with Legal, Portfolio Management, and client-facing teams to identify, assess, and address regulatory compliance matters Proactively stay abreast of regulatory changes and business developments, applying new knowledge to enhance compliance frameworks Take initiative in continuous learning and skill development to maintain regulatory expertise Professional Skills & Qualifications Minimum 8+ years of regulatory compliance experience within a large, diverse investment management firm, with a focus on investment management, regulatory, or ERISA compliance Bachelor’s degree required; advanced degree or Juris Doctorate preferred Deep knowledge of U.S. regulatory requirements applicable to investment managers, including ERISA and the Investment Advisers Act of 1940 Strong understanding of fixed income, alternatives, derivatives, commodities, and equity strategies across various investment vehicles (e.g., open-end mutual funds, closed-end funds, ETFs, separate accounts, private funds) Exceptional problem-solving skills with the ability to analyze complex regulatory issues and develop practical solutions Excellent verbal and written communication skills, capable of articulating clear ideas and strategies to diverse audiences Critical thinker and quick learner with the ability to assess situations rapidly and generate actionable insights Service-oriented mindset balancing regulatory rigor with business needs Highly motivated self-starter with a hands-on approach and the ability to drive change Superior organizational skills with the ability to prioritize, manage multiple tasks, and meet tight deadlines Adaptable and flexible, able to pivot quickly in response to evolving business demands Collaborative team player and consensus builder, effective in a matrixed global organization Demonstrated cultural awareness and sensitivity to work effectively in a diverse, global environment Strong integrity and commitment to PIMCO’s ethical standards and values 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 : $ 137,500.00 - $ 195,000.00 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. 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. We believe that active management is the responsible way to invest our clients' assets in fixed income. For 50 years, we have worked relentlessly to help millions of investors pursue their objectives - regardless of shifting market conditions. Our clients rely on an investment process that has been tested in virtually every market environment. Bringing together our investment professionals from across the globe, PIMCO's investment process is designed to promote fresh ideas and differing points of view. We innovate to give our clients an edge. Innovation has long been part of the fabric of PIMCO’s culture. Explore how we assess shifting risks and opportunities to build forward-looking solutions for investors.

PIMCO is a global leader in active fixed income. With our launch in 1971 in Newport Beach, California, PIMCO introduced investors to a total return approach to fixed-income investing.In the 50+ years since, we have worked relentlessly to help millions of investors pursue their objectives – regardless of shifting market conditions. As active investors, our goal is not just tofind opportunities, but to create them. To this end, we remain firmly committed to the pursuit of our mission : delivering superior investment returns, solutions and service to our clients.Active ManagementWe take an active approach to fixed income investing – one in which we express high convictionviews without allowing any single risk to dominate returns. Over our 50 year history, we have found this helps us to deliver positive outcomes for investors and avoid outsized risks that maybe inherent in passive approaches.Tested ProcessWe have a proven ability to help investors navigate shifting investment conditions – including times of market stress. Honed over decades, our process has helped millions of investorsmanage risks and pursue returns over meaningful time periods.Culture of InnovationFinancial markets are changing rapidly and it is crucial for investors to adapt. That is why innovation is part of the fabric of our culture. Importantly, we develop solutions based on investors’ needs and investing opportunities – not on near-term asset-raising potential. And we invest in top technology, tools and resources to help them succeed.

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