SENIOR VICE PRESIDENT, COMPLIANCE OFFICER

LGBT Great; New York (NY); On-site; USD 150,000 - 225,000; Full time

Job summary

A leading financial services firm is seeking a Senior Compliance Officer to manage regulatory compliance for U.S. Registered Funds. The ideal candidate will oversee compliance programs, conduct reviews, and collaborate with various stakeholders. This full-time position in New York offers a competitive salary based on expertise and responsibilities.

Qualifications

• Several years of relevant experience in a major financial services firm focused on '40 Act products.
• Comprehensive knowledge of regulatory frameworks applicable to U.S. investment managers.
• Exceptional organizational abilities and strong analytical skills.

Responsibilities

• Implement and adapt compliance program to regulatory requirements.
• Conduct annual reviews of compliance policies and procedures.
• Support risk assessment and testing program for funds.

Skills

Analytical Skills

Attention to Detail

Strong Communication

Creative Drive

Team-oriented

Education

Bachelor's degree or equivalent

JD considered a plus

Tools

Excel

MS Office suite

Job description

Senior Vice President, Compliance Officer

On-site New York, New York, United States Full time Posted 2 days ago

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.

PIMCO is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the U.S. Registered Funds 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 PIMCOs New York Office and will play a crucial role in supporting the Funds’ Chief Compliance Officer and the U.S. Registered Funds team.

Responsibilities

• Provide direct support to U.S. registered closed-end funds, particularly those operating as interval funds or business development companies.
• Implement and adapt the compliance program to new regulatory requirements.
• Conduct annual reviews of the Funds, Adviser and broader compliance policies, and procedures.
• Assist in the oversight of the Fund’s affiliated and third-party service providers.
• Maintain an understanding of investment company, broker-dealer, and investment advisory compliance policies, regulatory focus areas, and their relevance to U.S. Registered Funds.
• Develop and oversee the U.S. Registered Funds compliance program, ensuring adherence to policies and procedures and federal securities laws.
• Administer the funds compliance program, including compliance with co-investment exemptive relief granted by the SEC.
• Support compliance program enhancements in response to evolving regulatory requirements and business changes.
• Participate in the Fund’s risk assessment and testing program, including developing a risk matrix, documenting testing plans, executing testing procedures, and identifying enhancements based on test results.
• Oversee the Fund’s service providers, conducting due diligence, monitoring risks and controls, and documenting issue resolution.
• Experience in drafting and coordinating executive level reporting to the Board of Independent Trustees including the Annual Written Report of the Fund 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

• Bachelors degree or equivalent required; a JD is considered a plus.
• Several years of relevant experience in a major financial services firm or global asset manager, with a focus on ’40 Act products such as closed-end funds, interval funds, or business development companies.
• 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.
• Creative drive and efficient use of Excel and analytical tools for data analysis.
• Exceptional organizational abilities, capable of prioritizing tasks, meeting deadlines, and adapting to changing business needs.
• Strong communication, presentation, 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 in MS Office suite.

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 : $150,000.00 - $225,000.00

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.

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