Associate – Investment Guideline Compliance

LGBT Great; Newport Beach (CA); On-site; USD 87,000 - 93,000; Full time

Job summary

PIMCO seeks an Associate to join its Legal & Compliance team, focusing on interpretation, implementation, and oversight of investment guidelines across client portfolios and strategies. The role partners with Portfolio Management, Account Management, Product Strategy, Legal, and Trading to ensure activities align with client mandates and regulations.

The successful candidate translates complex requirements into actionable compliance rules while supporting investment professionals in navigating

Qualifications

• Bachelor's degree in Finance, Economics, Accounting, Business, or related field.
• 2+ years of experience within compliance, investment management, portfolio compliance, risk, or related function.
• Knowledge of global equity and fixed income markets, including bonds, equities, and derivatives.
• Strong Excel skills and data analysis abilities.
• Ability to understand and apply complex investment guidelines and regulatory requirements.

Responsibilities

• Collaborating with Account Management, Legal, Compliance, and Investment professionals to negotiate and implement investment discretions.
• Interpreting investment restrictions from client agreements, prospectuses, and regulatory frameworks.
• Supporting the Trade Floor and Portfolio Management with guidance on guideline matters.
• Creating, testing, and maintaining rules within the portfolio compliance system.
• Investigating and resolving guideline inquiries from stakeholders.
• Onboarding new accounts and implementing guidelines.

Skills

Analytical thinking

Problem solving

Attention to detail

Effective communication

Multi-tasking

Collaboration

Education

Bachelor's degree

Tools

Bloomberg

SQL

Business Objects

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.

Position Description

PIMCO is seeking an Associate to join its Legal & Compliance team, supporting the interpretation, implementation, and oversight of investment guidelines across a diverse range of client portfolios and investment strategies. The Guidelines Team serves as a critical partner to Portfolio Management, Account Management, Product Strategy, Legal, Compliance, and Trading teams, helping ensure investment activity remains aligned with client mandates, regulatory requirements, and internal policies.

This role offers broad exposure to PIMCO's investment platform and provides a unique opportunity to develop expertise at the intersection of investments, risk management, and regulatory compliance. The successful candidate will play an important role in translating complex client and regulatory requirements into actionable portfolio compliance rules and supporting the firm's investment professionals in navigating guideline-related matters.

On a Given Day, Your Work Might Include

• Collaborating with Account Management, Legal, Compliance, and Investment professionals to negotiate and implement investment discretions.

• Analyzing and interpreting investment restrictions sourced from client agreements, prospectuses, regulatory frameworks, and governing documents.

• Supporting the Trade Floor and Portfolio Management teams by providing guidance on investment guideline matters.

• Directing the creation, testing, and maintenance of rules within PIMCO's proprietary portfolio compliance system.

• Investigating and resolving investment guideline inquiries from business stakeholders.

• Supporting new account onboarding and guideline implementation activities.

• Identifying potential guideline issues and partnering with stakeholders on appropriate resolution strategies.

• Contributing to process improvement initiatives designed to enhance operational efficiency, scalability, and risk management controls.

• Participating in special projects related to investment guideline monitoring, regulatory developments, and compliance operations.

Why This Role

• Gain exposure to a broad range of investment products, including fixed income, equities, derivatives, and alternative investments.

• Partner closely with investment professionals and senior stakeholders across the firm.

• Develop expertise in portfolio compliance, regulatory interpretation, and investment guideline oversight.

• Build a strong foundation for future opportunities within Compliance, Risk, Legal, Product Strategy, or other areas of the investment management business.

You Will Excel in This Role If You

• Demonstrate the highest standards of integrity and professionalism.

• Possess strong analytical and problem-solving skills.

• Have exceptional attention to detail and a commitment to accuracy.

• Are intellectually curious and eager to learn new concepts and processes.

• Communicate effectively with a wide range of stakeholders.

• Can manage multiple priorities and deadlines in a fast-paced environment.

• Thrive in a collaborative, team-oriented environment.

You Are Going to Need This to Carry Out the Job

• Bachelor's degree in Finance, Economics, Accounting, Business, or a related field.

• 2+ years of experience within compliance, investment management, investment operations, portfolio compliance, risk, or a related function.

• Knowledge of global equity and fixed income markets, including financial instruments such as bonds, equities, and derivatives.

• Strong Excel skills and the ability to analyze and interpret data effectively.

• Ability to understand and apply complex investment guidelines and regulatory requirements.

Preferred Qualifications

• Experience interpreting, negotiating, implementing, or monitoring investment guidelines and client mandates.

• Experience working with portfolio compliance or investment monitoring systems.

• Familiarity with portfolio management, investment operations, compliance, or risk management functions within an asset management organization.

• Knowledge of the Investment Company Act of 1940 and other relevant asset management regulations.

• Experience using Bloomberg, SQL, Business Objects, or similar analytical tools.

• CFA designation, active progress toward the CFA Program, JD, or MBA is a plus.

Relevant Experience May Include

We welcome candidates with experience gained in:

• Portfolio Compliance

• Investment Guideline Monitoring

• Investment Operations

• Asset Management Compliance

• Fund Administration

• Risk Management

• Middle Office Functions

• Other related roles within asset management, banking, or financial services

PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.

Salary Range: $ 87,000.00 - $ 93,000.00

Equal Employment Opportunity and Affi...

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.