Associate, Compliance - Regulatory

LGBT Great; Sydney; Hybrid; AUD 110,000 - 170,000; Full time

Job summary

PIMCO Australia in Sydney is seeking a skilled Compliance professional to support regulatory obligations for Australian funds and the APAC region. The role covers AML/KYC, e-surveillance, licensing, and governance, with interaction across senior leadership.

The ideal candidate has at least 3 years in financial services compliance and holds a degree in finance, accounting, or law. You will contribute to training, audits, and ongoing regulatory developments to strengthen the compliance programme.

Qualifications

• At least 3 years working experience in legal, compliance or audit in financial services.
• Degree qualified in either finance/accounting/law discipline.
• Strong communication and collaboration skills.

Responsibilities

• 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
• Client due diligence: Supporting client operational due diligence
• ETF continuous disclosure obligations: oversee compliance of listing obligations

Skills

Strong communication

Collaboration

Autonomy

Education

Degree in finance/accounting/law

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

• 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

• Client due diligence: Supporting client operational due diligence

• 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

Equal Employment Opportunity and Aff…

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.