Compliance Officer - PIMCO (Newport Beach, CA)

  • Company

    PIMCO
  • Location

    USA
  • Compensation

    competitive
  • Position Type

    Permanent
  • Employment type

    Full time
  • Updated

    18 Nov 2009
  • eFC Ref no

    582414
TITLE: Compliance Officer DEPARTMENT: Legal and Compliance – Regulatory Compliance PIMCO is seeking a Compliance Officer for our Newport Beach, CA office. The Compliance Officer is responsible for the development, creation and administration of PIMCO’s Compliance Program. Regulations require the firm to establish a compliance program that ensures PIMCO is able to conduct its business as an investment advisor in accordance with all applicable laws, rules and regulations. The Compliance Officer will be responsible for assisting compliance management in administering the firm’s compliance policies and procedures.

COMPETENCIES AND CRTICAL SKILLS:

This position requires an analytical, detailed professional who can:

• Accurately and efficiently prepare reports spanning the firm’s Code of Ethics including personal trading activity

• Assist with the administration of PIMCO’s anti-money laundering program

• Efficiently and effectively prepare client reports utilizing strong written communication skills

• Assist in the maintenance of the firm’s written compliance policies and procedures

• Create and deliver an effective and relevant compliance training program

• Assist with fulfilling regulatory reporting requirements including SEC filings and pay to play disclosure reporting

• Continually build an understanding of PIMCO and the firm’s operations

• Efficiently utilize tools such as Excel spreadsheets, macros, query tools, and internal databases

• Handle ongoing automation of reporting requirements and the streamlining of the reporting process

• Professionally communicate with all levels of staff, internal and external

• Utilize effective time management skills to maintain a commitment to quality and attention to detail; ensure that all work is completed accurate and on time

• Foster a sense of teamwork, assisting others when needed/required

• Flourish in a challenging, fast-paced, and professional environment with frequent shifts in priorities as business needs dictate

• Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO

• Focus on specific goals and demonstrate a sense of personal growth, accountability and urgency for achieving results

QUALIFICATIONS:

Education:

Must possess a four-year college degree with a preferred major in Business/Finance, Economics, or Accounting. 

Experience:

Five to ten years of finance-related experience preferred, ideally in the fixed income, financial services, or accounting industries. Ideal candidates are familiar with fixed income instruments and the economic underpinnings of the fixed income asset class

PIMCO is an equal opportunity employer.

  • Contact:

    Warunee Maikoksoong

  • Company:

    PIMCO

  • Recruiter Ref:

    Req 9406

  • Note: Please quote eFC Ref: 582414 when applying for this job.

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