Senior Associate, Global Adviser Compliance & Oversight

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

Résumé du poste

PIMCO is seeking a highly motivated Senior Associate for its global Legal & Compliance team to strengthen the firm’s U.S. investment adviser compliance program.

You will help develop policies, perform risk assessments, test controls, and support governance across separate accounts, funds, and private funds. With a background in investment management compliance, you will draft communications, drive program enhancements, and partner across geographies to embed a culture of integrity and regulatory

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.

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.
• 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.

Connaissances

Compliance experience

Regulatory knowledge

Investment management

U.S. regulatory requirements

Written and verbal communication

Analytical mindset

Collaboration across geographies

Self-starter

Organizational skills

Adaptability

Formation

Bachelor’s degree in Business Administration/Management, Finance, Accounting, Legal studies, or related discipline

Description du poste

PIMCO is seeking a highly motivated Senior Associate for its global Legal & Compliance team to strengthen the firm’s U.S. investment adviser compliance program.

You will help develop policies, perform risk assessments, test controls, and support governance across separate accounts, funds, and private funds. With a background in investment management compliance, you will draft communications, drive program enhancements, and partner across geographies to embed a culture of integrity and regulatory