Regulatory Compliance Officer - Trade Floor (London) - PIMCO

ZipRecruiter; London; On-site; GBP 65,000 - 85,000; Full time

Job summary

A global investment firm in London is seeking a Compliance Officer to execute and evolve its Compliance program. This role involves advising on regulatory standards, engaging with trade floor personnel, and contributing to the EMEA Compliance program. The ideal candidate has a strong background in compliance with proven expertise on an active trade floor and knowledge of UK and EU regulations. Competitive salary and benefits offered.

Qualifications

• Previous compliance experience on an active trade floor, either buy-side or sell-side.
• Proven experience with an active trade floor is essential.
• Experience in executing risk-based compliance monitoring activities.

Responsibilities

• Advise the business in navigating and meeting regulatory standards.
• Engage with trade floor personnel to address potential issues.
• Execute the trade floor surveillance program ensuring adherence to policies.

Skills

Trade Floor Background

Compliance Experience

Regulatory Compliance

Financial Instruments Knowledge

Regulatory Knowledge

Analytical Skills

Organizational Skills

Attention to Detail

Professional Standards

Team Player

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.

Overview

The main responsibility of this role is the execution and evolution of the Compliance program in the areas of Portfolio Management, Trading, Credit Research, and Trade Processing. This includes monitoring, surveillance, and advice for Trade Floor personnel on PIMCO's policies and procedures as well as the applicable regulatory framework.

Responsibilities

• Regulatory Standards: Advise the business in navigating and meeting regulatory standards
• Trade Floor Engagement: Regularly engage with trade floor personnel to address potential issues identified through surveillance and respond to inquiries. This requires excellent communication skills, judgment, and the ability to operate effectively in a busy, time-sensitive environment.
• Trade Floor Surveillance: Execute the trade floor surveillance program across multiple asset classes and focus areas, including Market Abuse surveillance and Conflicts of Interest, ensuring adherence to policies and regulatory requirements in collaboration with global team members.
• EMEA Compliance Program: Contribute to the evolution of the EMEA Compliance program within a dynamic and evolving trade floor environment.
• Team Collaboration: Foster a team-based, collaborative approach to problem-solving in a flat, non-hierarchical business model.
• Global Team Contribution: Contribute to the success of the global Trade Surveillance team and the wider EMEA Regulatory Compliance team.

Requirements

• Trade Floor Background: Previous compliance experience on an active trade floor, either buy-side or sell-side.
• Compliance Experience: Proven experience with an active trade floor is essential.
• Regulatory Compliance: Experience in executing risk-based, audit-ready Compliance monitoring activities with a focus on front office controls.
• Financial Instruments Knowledge: Working knowledge across a broad range of asset classes, especially Fixed Income and FX instruments, including both listed and OTC derivatives.
• Regulatory Knowledge: Familiarity with UK and EU regulations, including MIFID II, MIFIR, and MAR.
• Analytical Skills: Excellent analytical skills and judgment with a solutions-oriented attitude.
• Organizational Skills: Excellent organization and communication skills.
• Attention to Detail: Diligence, excellent record-keeping, and the ability to work with minimal supervision.
• Professional Standards: Highest professional standards and a strong client service orientation.
• Team Player: Ability to foster good working relations and support the team's professional standards and client service.

Equal Employment Opportunity and Affirmative Action Statement

PIMCO recruits and hires qualified candidates without regard to race, color, ancestry, religion, gender, gender identity, sexual orientation, age, disability, medical condition, marital status, military or veteran status, or any factor prohibited by law. We support and promote equal employment opportunity and affirmative action, in accordance with all applicable laws.

Applicants with Disabilities

PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodations for qualified individuals with disabilities, including veterans. If you have difficulty using our online system due to a disability and would like to request an accommodation, please contact us at 949-720-7744. Only messages left for this purpose will be considered, and responses may take up to two business days.