Vice President, Compliance Officer at PIMCO

Newport Beach, California, United States

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Not SpecifiedCompensation

Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

Investment Management, Financial ServicesIndustries

Requirements

Candidates should possess a minimum of 8 years of regulatory compliance experience within a large, diverse investment management firm, with a focus on investment management, regulatory, or ERISA compliance. Strong knowledge of ERISA and other relevant regulatory frameworks is essential, along with experience in policy development, surveillance and monitoring, and conflict of interest management.

Responsibilities

The VP, Compliance Officer will lead and support the global investment adviser compliance program, collaborating with teams worldwide to enhance the program and ensure consistency. They will provide expert guidance on regulatory compliance, manage core compliance functions including ERISA compliance, monitoring and surveillance, and oversee compliance requirements related to PIMCO’s QPAM status. The role also involves drafting and implementing compliance policies, partnering with Legal and other teams to address regulatory matters, and proactively staying abreast of regulatory changes.