VP, Regulatory Compliance – 12m Contract (Munich)

PIMCO; München; Vor Ort; EUR 100.000 - 125.000; Vollzeit

Zusammenfassung

An established industry player is seeking a Compliance Expert to lead its Compliance Monitoring Program in Munich. This pivotal role requires a strong understanding of regulatory requirements for the EU and UK, ensuring adherence to compliance standards. The ideal candidate will have a minimum of 4-6 years of experience in compliance within a global financial services organization. This position offers the opportunity to contribute to a top-tier Compliance program and collaborate with diverse teams, enhancing the effectiveness of compliance strategies. Join a forward-thinking company that values diverse perspectives and fosters a culture of excellence and collaboration.

Qualifikationen

• 4-6 years in compliance, legal, or audit roles in financial services.
• Strong understanding of UK and EU regulations.

Aufgaben

• Develop and implement Compliance policies and procedures.
• Maintain a best-in-class Compliance Monitoring Program.
• Enhance program execution by understanding PEG's business operations.

Kenntnisse

Compliance Monitoring

Regulatory Knowledge

Communication Skills

Client-Centric Approach

Adaptability

Jobbeschreibung

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.

Overview

PIMCO is seeking a Compliance Expert to lead PEG's Compliance Monitoring Program, focusing on branch and shareholder oversight. The ideal candidate will have strong knowledge of regulatory requirements for PIMCO Europe GmbH (PEG) and its EU and UK branches, with familiarity in Real Estate and Swiss regulations as a plus. This role is vital for maintaining a top-tier Compliance program and collaborating with teams within a global asset management firm. The position is based in Munich within the EMEA Regulatory Compliance team.

Key Responsibilities

1. Compliance Program Development: Develop, promote, and implement Compliance policies, standards, and procedures to ensure PEG and EMEA staff operate in compliance with regulatory obligations.
2. Compliance Monitoring Program: Maintain a best-in-class Compliance Monitoring Program covering WpHG, WpIG, GwG, BaFin ordinances, and ESMA publications (including SFDR and other sustainability-related publications), providing advice, training, regulatory filings, and monitoring activities. Coordinate internal and external audits to ensure compliance standards are met.
3. Communication and Reporting: Exhibit exceptional communication skills and effectively manage a busy, time-sensitive environment. Report to PEG's Compliance Officer in Munich, with a pathway to becoming PEG's Deputy Compliance Officer.
4. Business Understanding: Enhance program execution by understanding PEG's business operations, particularly in Institutional and Intermediary Client Relationship Management, Marketing, Business Development, and Portfolio Management.
5. Regulatory Evolution: Evolve the EMEA Compliance program through ongoing analysis of the regulatory environment, including horizon scanning for changes and integrating industry best practices.
6. Global Team Contribution: Contribute to the global regulatory compliance team focused on EU, German, and UK regulatory frameworks, while participating in local, regional, and global project work and working groups.

Requirements

1. Experience: Minimum 4 to 6 years in compliance, legal, or audit roles within a global financial services organization, focusing on strategic advice for financial services.
2. Asset Management Knowledge: Experience as a Compliance Officer in a Financial Services Firm or KVG, with a focus on investment funds, fixed income, and equity products.
3. Financial Product Familiarity: Knowledge of various financial products, including derivatives, structured products, and alternative investments, is a plus.
4. Regulatory Knowledge: Strong understanding of UK and EU regulations relevant to PIMCO Europe GmbH (PEG) and its branches, with the ability to navigate complex regulatory environments.
5. Compliance Expertise: Proven experience in executing and enhancing risk-based, audit-ready Compliance monitoring programs.
6. Communication Skills: Exceptional ability to present complex regulatory concepts clearly to diverse audiences.
7. Client-Centric Approach: Commitment to high professional standards and client service, fostering collaborative relationships.
8. Adaptability: Flexibility in addressing complex subject matter while understanding business needs in a regulatory context.