Senior Associate, Global Adviser Compliance & Oversight

LGBT Great; Newport Beach (CA); On-site; USD 100,000 - 113,000; Full time

Job summary

PIMCO is a global investment management firm seeking a Senior Associate for its Legal & Compliance team in the U.S. adviser compliance program. The role focuses on regulatory alignment, governance, and embedding a culture of integrity across the organization.

The successful candidate will help oversee policy development, risk assessments, testing, and training initiatives, working with cross-functional teams to harmonize approaches worldwide.

Qualifications

• Bachelor’s degree in Business/Finance/Law or related field.
• Demonstrated compliance experience in investment management.
• Strong knowledge of U.S. regulatory requirements for investment managers.
• Familiarity with products across funds and accounts.
• Excellent written and verbal communication.
• Strong analytical thinking and problem solving.
• Service orientation and teamwork across geographies.
• Ability to drive initiatives in a fast-paced environment.
• Superior organizational skills and deadline management.
• Cultural awareness and integrity aligned with firm values.

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.

Skills

Compliance experience

Regulatory knowledge

Attention to detail

Analytical mindset

Communication skills

Education

Bachelor’s degree

Job description

PIMCO is a global investment management firm seeking a Senior Associate for its Legal & Compliance team in the U.S. adviser compliance program. The role focuses on regulatory alignment, governance, and embedding a culture of integrity across the organization.

The successful candidate will help oversee policy development, risk assessments, testing, and training initiatives, working with cross-functional teams to harmonize approaches worldwide.