Compliance Officer at PIMCO

Newport Beach, California, United States

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Not SpecifiedCompensation

Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Fixed Income, Asset ManagementIndustries

Requirements

Bachelor’s degree required
Minimum 5 years in regulatory compliance at highly regulated investment management firms, investment banks, or top-tier U.S. law firms
Understanding of securities laws related to insider trading and market abuse
Familiarity with U.S. regulatory requirements, including the Investment Advisers Act of 1940
Industry background: Exposure to fixed income, alternatives, derivatives, commodities, or equity strategies across various investment products (mutual funds, ETFs, separate accounts, private funds)
High integrity aligned with PIMCO’s values and ethical principles
Ability to work independently and within a matrixed organization in a fast-paced environment
Detail-oriented with a proactive approach to problem-solving and process improvement
Flexible and adaptable to shifting priorities and business demands
Strong analytical, organizational, and communication skills (written and oral)
Experience in development of reports and data analysis, including knowledge of MSBI (Power BI/SSRS) tools
Knowledge of SQL is a plus
Familiarity with the application and use of various AI tools and prompts
Experience using the Bloomberg terminal
Skilled in drafting (inferred from role responsibilities)

Responsibilities

Implement and monitor PIMCO’s information barriers
Assist with maintaining restricted trading lists and manage trading restrictions
Identify and escalate compliance issues, including violations, to senior management
Manage and implement PIMCO’s Expert Network procedures, including providing training to business users and liaising with providers
Assist with handling planned and inadvertent receipt of MNPI
Draft and maintain compliance policies, procedures, governance documents, and memos
Prepare internal and external communications related to compliance matters
Deliver compliance training (live and online) to Personnel about PIMCO’s MNPI Policy, information barriers, and related topics
Maintain and enhance MNPI-related training modules and educational content
Work closely with colleagues from Legal and Compliance teams, Portfolio Management, Trade floor, Alternatives Business Management and Capital Markets, Client-Facing teams, and Product Strategies (and others) to address inquiries and time-sensitive compliance matters
Identify and implement process enhancements, including technology solutions, to reduce manual work

Skills

Key technologies and capabilities for this role

ComplianceMNPI PolicyInformation BarriersRestricted Trading ListsExpert Network ProceduresRegulatory CompliancePolicy DraftingTrainingRisk ManagementGovernance

Questions & Answers

Common questions about this position

What is the location for this Compliance Officer role?

The position is based at PIMCO's Corporate Headquarters in Newport Beach, CA.

What experience is required for this position?

A minimum of 5 years in regulatory compliance at highly regulated investment management firms, investment banks, or top-tier U.S. law firms is required.

What education is needed for the Compliance Officer role?

A Bachelor’s degree is required.

What is PIMCO's company culture like?

PIMCO fosters a high-performance inclusive culture that celebrates diverse thinking and is guided by CORE values of Collaboration, Openness, Responsibility, and Excellence.

What technical knowledge is required for this role?

Understanding of securities laws related to insider trading is required.