Associate, Compliance - Regulatory

Pimco; Sydney; On-site; AUD 120,000 - 180,000; Full time

Job summary

PIMCO in Sydney is seeking an experienced compliance professional to manage and enhance the firm’s regulatory compliance program for APAC operations. The role supports two senior executives across multiple regulatory areas and may provide regional coverage for APAC offices.

Responsibilities include monitoring and improving compliance controls, AML/KYC oversight, licensing and disclosures, and coordinating audits while staying current on regulatory developments.

Qualifications

• Minimum 3 years' experience in legal, compliance or audit within financial services.
• Degree qualified in finance, accounting or law.
• Strong communication and collaboration skills.
• Self-motivated, resourceful and able to take initiative and work autonomously.
• Ability to work under pressure with good organization and time management.

Responsibilities

• Manage and administer the firm’s compliance programme across marketing material reviews, surveillance, AML/KYC, incident/breach handling, licensing, governance and audits.
• Provide governance packs for Compliance Committee and Boards; coordinate internal/external audits.
• Advise business on regulatory developments and help design and implement an effective compliance program.
• Deliver compliance training to staff and maintain training records.
• Oversee ETF continuous disclosure obligations and compliance with listing requirements.

Skills

Communication

Collaboration

Self-motivation

Initiative

Time management

Organizational skills

Education

Finance/accounting/law degree

Job 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.

Background

PIMCO Australia has its own fund complex (11 registered funds, 8 unregistered funds and 5 ETFs) where we are both Responsible Entity as well as Investment Manager. In addition there are around 30 separate mandate clients.

This new position will be based in Sydney and will support 2 seniors (one VP and one SVP) on all regulatory compliance matters. He/she may from time to time also provide periodic regional coverage for other APAC offices.

Main Responsibilities

The primary responsibilities include managing and administering the firm’s compliance programme covering the following areas:

• Marketing material review: Perform reviews of the marketing materials and product-related documents
• Compliance monitoring and testing: Personal trading monitoring, e-surveillance, social media surveillance, gifts and entertainments
• AML/KYC checks and oversight: Carry out on-boarding and ongoing AML checks, oversight of our unit registry, review transaction monitoring
• Incident and breach management: Review, monitor and manage incidents and breaches, complaints, conflict of interest, related party transactions. Maintain various registers
• Licensing: Manage licence applications/cessations, handling regulatory enquires/reporting requirements or ASIC and AUSTRAC
• Governance: Prepare Compliance committee and board packs for meetings
• Audit Coordination: Manage and support internal/external audits
• General advisory: Advise and guide business, stay up to date on regulatory developments and assist in continued design, enhancement and implementation of an effective compliance programme
• Training: Administering training program for compliance for new hire, all staff, Regulatory Guide 146 staff and Responsible Managers. Maintain training register
• ETF continuous disclosure obligations: oversee compliance of listing obligations

Qualifications

• At least 3 years working experience in legal, compliance or audit in financial services
• Degree qualified in either a finance/accounting/law discipline
• Strong communication and collaboration skills
• Self-motivated, resourceful and able to take initiative and work autonomously
• Ability to work under pressure with good organization and time management skills

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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.