Head of Compliance & Enterprise Risk, EMEA (London)

PIMCO Europe Ltd.; London; On-site; GBP 80,000 - 150,000; Full time

Job summary

An established industry player is seeking a seasoned EVP to lead Compliance and Enterprise Risk across the EMEA region. This pivotal role involves overseeing compliance functions, managing regulatory oversight, and engaging with senior management and external stakeholders. The ideal candidate will possess a deep understanding of compliance within asset management, demonstrate strong leadership qualities, and have a proven track record of managing high-performing teams. Join a dynamic organization that values collaboration, integrity, and excellence, and make a significant impact on compliance strategies and risk management initiatives.

Qualifications

• Extensive experience in compliance management within financial services.
• Strong understanding of regulatory frameworks in asset management.

Responsibilities

• Lead and manage the EMEA Compliance function effectively.
• Oversee risk management and ensure regulatory compliance.

Skills

Compliance Management

Risk Management

Regulatory Knowledge

Stakeholder Engagement

Team Leadership

Change Management

Budget Management

Business Acumen

Education

Degree in Finance or Law

Professional Compliance Certification

Job description

Head of Compliance & Enterprise Risk, EMEA (London)

Apply locations London, GBR time type Full time posted on Posted Today job requisition id R105182

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 seasoned and proven EVP, Head of Compliance and Enterprise Risk for the Europe, Middle East, and Africa (EMEA) region. This senior-level position will manage and lead the EMEA Compliance function, ensuring it effectively supports PIMCO’s business objectives while adhering to regulatory requirements. The successful candidate will report directly to PIMCO’s Global Head of Compliance and will be a key member of the Compliance Leadership Team, collaborating closely with broader legal and compliance leadership and functional and business teams across the firm.

Key Responsibilities

1. Leadership of Compliance Function: Oversee and manage the EMEA Compliance function, ensuring it provides effective support to PIMCO’s business in the region.
2. Regulatory Oversight: Lead, manage and continue to implement a best-in-class compliance program across the EMEA region, ensuring alignment with local, regional and applicable international regulations related to PIMCO's products and services.
3. Risk Management: Identify, evaluate and mitigate relevant regulatory, enterprise, reputational and other risks associated with PIMCO’s business across EMEA. Oversee and manage the Risk function and team (including fulfilling the responsibilities of the senior manager in charge of both compliance and risk under UK SM&CR regulations).
4. Collaboration with Senior Management: Work closely with the EMEA and global Senior Management Team to align compliance strategies with business goals and regulatory expectations.
5. External Stakeholder Engagement: Engage with key external stakeholders, including Boards, independent directors and regulators, on relevant compliance and regulatory matters. Lead regulatory engagements involving compliance with applicable EMEA rules and regulations.
6. Team Development: Lead, mentor, and develop a high-performing team of compliance professionals, fostering a culture of compliance and ethics within the organization.
7. Change Management: Manage and implement changes in compliance processes and strategies in response to evolving regulatory landscapes and business needs.
8. Performance Assurance: Provide independent assurance to senior management regarding the effectiveness of compliance practices and controls, including timely reporting of compliance-related issues.
9. Budget Management: Prudently manage the budget for the EMEA Compliance function, ensuring efficient resource allocation and performance management.
10. Strategy Development: Develop and align the EMEA Compliance strategy with the Global Compliance strategy, ensuring it supports the overall objectives of the organization.

Requirements

Professional Experience

1. A credible and impactful senior-level Compliance professional with first-in-class technical skills, deep regulatory expertise, and with a demonstrated track record of leading a high-performing Compliance program.
2. Deep understanding of risk and compliance and applicable rules and regulations within Asset Management, including Registered Funds, Trading and Markets, Alternatives, Distribution Compliance, and/or other relevant business lines and regulatory areas.
3. Demonstrable track record of managing a Compliance function within an international financial services company and effectively engaging with senior internal and external stakeholders across multiple European regulatory environments.
4. Strong business acumen and mature judgment, with the ability to understand macro issues and what is important to key stakeholders.
5. Proven experience in managing, implementing, and responding positively to change in an adaptive, innovative, and practical manner.

Leadership Qualities

1. Proven and engaged manager with significant experience in managing, developing, and optimizing teams of professionals.
2. Ability to quickly build strong internal networks and leverage relationships to assist in accomplishing business objectives.
3. Strong work ethic with the capability to get involved in the details of key business issues.
4. Ability to quickly grasp and solve complex problems, manage change in a fluid environment, and closely collaborate with business stakeholders taking a solution-oriented approach.
5. A highly positive and accessible style with a ‘can-do’ attitude, focused on solutions and collaboration.
6. High degree of interpersonal skills, tact, and diplomacy with all constituencies; strong collaboration skills with peers and colleagues.
7. A proactive communicator who can present ideas articulately and influence buy-in from technical and commercial functions.
8. A trusted business partner of unquestionable integrity, credible and accepted at all levels of the organization.

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.