Compliance Associate, Financial Services

Pacific Investment Mgt; Sydney; On-site; AUD 90,000 - 130,000; Full time

Job summary

PIMCO Australia is seeking a Compliance professional to lead and administer the firm’s regulatory compliance program from Sydney, supporting two senior leaders. You will cover AML/KYC, surveillance, licensing, governance and audits, ensuring robust controls and timely reporting across the APAC region.

The role emphasizes proactive risk management, training, and collaboration with business teams to implement effective compliance solutions in a fast-paced financial services environment.

Qualifications

• 3+ years working experience in legal, compliance or audit in financial services.
• Degree qualification 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 skills.

Responsibilities

• Marketing material review: Review 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: On-boarding and ongoing AML checks, oversight of unit registry, review transaction monitoring.
• Incident and breach management: Review, monitor and manage incidents, breaches, complaints, conflicts of interest, related party transactions.
• Licensing: Manage licence applications/cessations, regulatory inquiries/reporting requirements or ASIC/AUSTRAC
• Governance: Prepare Compliance committee and board packs for meetings
• Audit Coordination: Manage and support internal/external audits
• Training: Administer compliance training for new hires and staff, maintain training register
• Client due diligence: Support client operational due diligence
• ETF continuous disclosure obligations: Oversee listing obligations compliance

Skills

Communication skills

Collaboration

Autonomy

Time management

Education

Degree in finance/accounting/law

Job description

PIMCO Australia is seeking a Compliance professional to lead and administer the firm’s regulatory compliance program from Sydney, supporting two senior leaders. You will cover AML/KYC, surveillance, licensing, governance and audits, ensuring robust controls and timely reporting across the APAC region.

The role emphasizes proactive risk management, training, and collaboration with business teams to implement effective compliance solutions in a fast-paced financial services environment.