Specialist, Compliance - ACE Guidelines

Sacbar; Newport Beach, Northern (CA, KY); Hybrid; USD 120,000 - 135,000; Full time

Job summary

PIMCO, a global leader in fixed income, is seeking a Guidelines Analyst to join the Compliance team in Newport Beach. You will interpret investment guidelines and help automate compliance workflows, collaborating with Legal & Compliance, Technology, Account Management, and Trade Floor.

The role requires a Bachelor's degree and experience in investment management, with strong Excel, SQL, and data querying skills. A CFA designation is a plus, and a discretionary bonus may accompany base salary.

Qualifications

• Minimum Bachelor's degree in Accounting, Business, Finance or Economics.
• Professional experience in compliance or investment management is required.
• Strong knowledge of global equity and fixed income markets.
• Familiarity with UCITS, AIFMD, 40-act or similar regulations.
• Proficiency in MS Excel expected.

Responsibilities

• Interpret and maintain compliance rules based on investment guidelines and regulations.
• Lead analytical/ad hoc projects to automate guideline compliance and workflows.
• Ensure guideline restrictions are reflected accurately in the compliance system.
• Research inquiries on interpretation, functionality, or status of rules.

Skills

Integrity

Communication skills

Fast learner

Attention to detail

Multitasking

Self-starter

Initiative

Education

Bachelor's Degree in Accounting, Business, Finance or Economics

Tools

MS Excel

SQL

Business Objects

Bloomberg

Job 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.

POSITION DESCRIPTION

This is an exciting opportunity to work in a fast-paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. The Guidelines Team is responsible for accurately coding and automating client, regulatory, and internal guidelines within the compliance system. This individual will have broad exposure to the entire Investment Guideline Compliance process. Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Technology, Account Management, Product Strategy and the Trade Floor.

RESPONSIBILITIES

• Interpreting and maintaining compliance rules based on investment guidelines and regulations, with a focus and deep understanding of specific regulatory regimes (40-act, UCITS, AIF)
• Facilitating and contributing to numerous analytical/technical ad hoc projects aimed at automating account guideline compliance and optimizing workflows.
• Ensuring that the guideline interpretations of accounts' restrictions are accurately reflected in the compliance system
• Researching and addressing various inquiries regarding the interpretation, functionality or compliance status of compliance rules

POSITION REQUIREMENTS

• Minimum of a Bachelor's Degree (Accounting, Business, Finance or Economics preferred)
• Demonstrated professional experience in compliance or the investment management industry, including roles of increasing scope and responsibility.
• Intermediate knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and listed and OTC derivatives.
• Knowledge of UCITS, AIFMD, 40-act or other common legal/regulatory practices
• Intermediate/advanced working knowledge of MS Excel.

PREFERRED QUALIFICATIONS

• Prior working experience within or directly servicing a fund management company
• Experience with coding in a compliance system is ideal
• Exposure to querying, particularly with SQL and Business Objects
• Experience with Bloomberg
• CFA designation or active status in the CFA program is a plus

PROFESSIONAL SKILLS REQUIREMENTS

• Have a strong sense of honesty and integrity
• Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization
• Quick learner and adaptable to learn new processes, concepts, and skills
• Maintaining a strong commitment to quality and attention to details, ensuring that relevant work product is complete, accurate and on time.
• Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
• Highly motivated self-starter with the ability to work collaboratively and independently
• Desire to take initiative and contribute to the department and the organization

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: $ 120,000.00 - $ 135,000.00

Equal Employment Opportunity and Aff

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.