Senior Compliance Officer (New York)

Pimco; New York (NY); On-site; USD 215,000 - 260,000; Full time

Job summary

PIMCO is looking for a Senior Compliance Officer in New York to enhance the U.S. Registered Funds Compliance team. The role involves managing compliance programs, regulatory reporting, and collaborating with stakeholders while ensuring adherence to investment regulations. Ideal candidates are experienced, proactive, and possess strong analytical and communication skills.

Qualifications

• Several years of relevant experience in a major financial services firm or global asset manager.
• Comprehensive knowledge of regulatory frameworks applicable to U.S. investment managers.
• Demonstrated experience managing people and processes.

Responsibilities

• Provide direct support to the U.S. registered funds compliance program, including maintaining regulatory risk assessments.
• Implement and adapt the compliance program to new regulatory requirements.
• Administer the US Registered Funds' compliance program, ensuring adherence to federal securities laws.

Skills

Strong analytical skills

Attention to detail

Communication skills

Team-oriented

Education

Bachelor's degree or equivalent

JD or advanced degree

Job description

Senior Compliance Officer (New York) page is loaded

Senior Compliance Officer (New York)

Apply locations New York, NY USA time type Full time posted on Posted 30+ Days Ago job requisition id R101856

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

PIMCO is seeking a Senior Compliance Officer to join its U.S. Registered Funds Compliance team within the global Legal and Compliance Department, primarily focusing on the 38a-1 compliance program. This includes open-end funds, exchange-traded funds, closed-end funds, business development companies, and interval funds. The ideal candidate will be based in PIMCO's New York Office and will play a crucial role in supporting the Funds’ Chief Compliance Officer and PIMCO’s broader compliance team.

Responsibilities

• Provide direct support to the U.S. registered funds compliance program which generally includes maintaining regulatory risk assessments, the administration of Board approved policies and procedures, compliance monitoring, execution of the annual review, drafting and production of periodic Board reporting and oversight of relevant service providers.

• Implement and adapt the compliance program to new and evolving regulatory requirements

• Maintain an understanding of investment company, broker-dealer, and investment advisory compliance regulatory focus areas, and their relevance to U.S. Registered Funds

• Develop and oversee the U.S. Registered Funds compliance program under the oversight of the Fund CCO, confirming adherence to policies and procedures and federal securities laws

• Administer the US Registered Funds' compliance program, including unique aspects related to ETF, BDC and co-investment transaction exemptive relief granted by the SEC

• Conduct annual reviews of the Funds, Adviser and limited purpose broker-dealer compliance policies and procedures

• Participate in the Fund’s risk assessment and annual review program, including partnering on relevant changes to the annual regulatory risk assessment, drafting testing plans, executing testing leveraging existing test plans, and identifying observations based on the results of the annual review

• Assist in the oversight of the Funds’ affiliated and third-party service providers (i.e. the investment adviser, transfer agents’, distributor and custodian) which includes conducting due diligence, identifying and monitoring risks and controls, and documenting issue resolution

• Experience in drafting and coordinating executive level reporting to the Board of Independent Trustees including standard quarterly reports and the Annual Written Report of theFund CCO

• Collaborate with various stakeholders to address regulatory matters including external counsel and stakeholders in other PIMCO departments

• Demonstrate initiative, integrity, and a commitment to PIMCO’s values and ethical principles

Qualifications & Skills

• Bachelor's degree or equivalent required; a JD or advanced degree s notable

• Several years of relevant experience in a major financial services firm or global asset manager, with a focus on ’40 Act products

• Demonstrated experience managing people and processes is required

• Comprehensive knowledge of regulatory frameworks applicable to U.S. investment managers and broker-dealers, including familiarity with the Investment Company Act of 1940, Investment Advisers Act, and FINRA rules

• A solid background in various investment strategies, including fixed income, alternatives, derivatives, commodities, and equity, across different investment products

• Strong analytical skills and attention to detail, with an independent and collaborative work ethic

• Self-starter that is process oriented and operates with a creative mindset

• Exceptional organizational abilities, capable of prioritizing tasks, operating in a risk-based efficient manner, meeting deadlines, and adapting to changing business needs

• Strong communication, presentation, writing and analytical skills, with the ability to think critically and balance regulatory requirements with business perspectives

• Team-oriented with a global mindset, cultural sensitivity, and proficiency

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: $ 215,000.00 - $ 260,000.00

Equal Employment Opportunity and Affirmative Action Statement

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.

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We believe that active management is the responsible way to invest our clients' assets in fixed income.

For 50 years, we have worked relentlessly to help millions of investors pursue their objectives - regardless of shifting market conditions.

Our clients rely on an investment process that has been tested in virtually every market environment.

Bringing together our investment professionals from across the globe, PIMCO'sinvestment process is designed to promote fresh ideas and differing points of view.

We innovate to give our clients an edge.

Innovation has long been part of the fabric of PIMCO’s culture. Explore how we assess shifting risks and opportunities to build forward-looking solutions for investors.