Senior Associate, Compliance – Adviser Program Oversight

PIMCO Europe Ltd.; Newport Beach (CA); Sur place; USD 100 000 - 113 000; Plein temps

Résumé du poste

PIMCO Europe Ltd. is seeking a Senior Associate to support and enhance the U.S. adviser compliance program within a global Legal & Compliance team.

The role focuses on policy development, governance, risk assessments, testing, and training across accounts, funds, and private funds. The successful candidate will contribute to risk-based testing, ensure regulatory alignment, and drive continuous program improvements while collaborating with cross-functional colleagues in a fast-paced, global

Qualifications

• Bachelor's degree in Business Administration/Management, Finance, Accounting, Legal studies, or related discipline.
• Demonstrated compliance experience within a sophisticated investment management environment.
• Strong knowledge of U.S. regulatory requirements applicable to investment managers.

Responsabilités

• Support the global adviser compliance program across separate accounts, registered funds, and alternatives/private funds by contributing to policies, procedures, training, and monitoring activities.
• Draft, review, and enhance compliance policies and procedures, ensuring alignment with regulatory requirements and best practices.
• Identify and implement process improvements, including leveraging technology to increase efficiency and reduce risk.

Connaissances

Compliance experience

US regulatory knowledge

Analytical mindset

Communication skills

Self-starter

Team collaboration

Integrity

Organizational skills

Adaptability

Client service mindset

Formation

Bachelor’s degree in related discipline

Description du poste

## Senior Associate, Compliance – Adviser Program OversightApply: Newport Beach, CA USA: Full time: Posted Today: R107068PIMCO 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 Overview**PIMCO is seeking a highly motivated Senior Associate to join our global Legal & Compliance team. This role plays a key part in supporting and enhancing the firm’s U.S. investment adviser compliance program—ensuring regulatory alignment, strengthening governance frameworks, and helping to embed a culture of integrity across the organization.The successful candidate will join a team responsible for the oversight and continuous improvement of PIMCO’s adviser compliance program, including: policy development and governance, risk assessments, compliance testing and monitoring, conflict-of-interest management, and firmwide training initiatives.This is an excellent opportunity for a driven compliance professional to contribute meaningfully to a complex global platform while gaining exposure to a broad range of investment strategies and products.**Key Responsibilities*** Support the global adviser compliance program across separate accounts, registered funds, and alternatives/private funds by contributing to policies, procedures, training, and monitoring activities.* Partner with global Compliance colleagues to harmonize approaches, drive program enhancements, and ensure consistent application of regulatory standards worldwide.* Contribute to the adviser’s risk assessment and testing program, including building and refining risk matrices, developing and documenting test plans, conducting testing of controls, and recommending improvements based on findings.* Draft, review, and enhance compliance policies and procedures, ensuring they align with regulatory requirements and operational best practices.* Prepare clear, concise internal and external compliance communications, including guidance, summaries, and supporting documentation for governance forums.* Identify and implement process improvements, including leveraging technology and automation opportunities to increase efficiency, strengthen controls, and reduce operational risk.**Professional Skills & Qualifications*** Bachelor’s degree required in Business Administration/Management, Finance, Accounting, Legal studies, or related discipline.* Demonstrated compliance experience within a sophisticated investment management environment, preferably within adviser or regulatory compliance.* Strong knowledge of U.S. regulatory requirements applicable to investment managers, including the Investment Advisers Act of 1940.* Familiarity with a broad range of products and strategies, including fixed income, alternatives, derivatives, commodities, and equities across mutual funds, closed-end funds, ETFs, separate accounts, private funds, and CITs.* Exceptional written and verbal communication skills, with the ability to articulate complex concepts clearly and tailor messaging to a variety of stakeholders.* Strong analytical mindset: able to quickly assess issues, identify root causes, and propose pragmatic, risk‐aligned solutions.* Service‐oriented approach, balancing regulatory expectations with commercial priorities.* Self-starter with a hands-on attitude and the ability to drive initiatives to completion in a fast‐paced environment.* Excellent organizational skills, including the ability to prioritize competing demands and meet tight deadlines.* Adaptable, flexible, and comfortable navigating change within a dynamic global business.* Collaborative team player who builds strong relationships and consensus across functions and geographies.* Demonstrated cultural awareness and ability to operate effectively within a diverse, global organization.* High level of integrity and commitment to PIMCO’s standards, values, and fiduciary responsibilities.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: $ 100,000.00 - $ 112,500.00