- Lead various aspects of PIMCO's Investment Adviser compliance program, including managing a team of junior to senior-level compliance officers.
- Implement and enforce compliance policies, including overseeing the quant compliance, trade surveillance program, and e-surveillance programs, and continually evaluate the efficacy of the firm's relevant policies and procedures, in order to implement appropriate enhancements, where needed.
- Coordinate implementation of new or revised regulatory requirements relevant to PIMCO's business.
- Provide regular reporting to the Legal and Compliance senior executives and other relevant stakeholders in relation to compliance risks and the compliance program.
- Assist with the development and execution of compliance projects and the implementation of strategic initiatives.
- Effectively partner with the trading desks around compliance requirements. Develop teamwork and optimize the use of resources to achieve team or organizational objectives.
- Identify business risks; seeks relevant data, recognizing important information, and analyzing the impact and possible consequences.
- Develop, mentor, and lead a team of top talent compliance professionals
- Strong knowledge of trading activity, surveillance and controls in a fast-paced complex multi-product trading environment.
- Quickly react and effectively partner with the trading desks around compliance requirements. Able to develop teamwork and optimize the use of resources to achieve team or organizational objectives.
- Demonstrate strong executive presence and polish with the ability to be immediately to establish credibility with both internal and external stakeholders, with substantial participation in client meetings.
- Display effectiveness in identifying business risks; seeks relevant data, recognizing important information, and analyzing the impact and possible consequences.
- Excellent academic credentials, including a J.D.
- Significant compliance experience with a large and diverse investment management firm.
- Strong knowledge of regulatory requirements applicable to investment management firms.
- Strong background in fixed income instruments, and derivatives.
- Prior experience in a multi-product global firm offering a range of investment products.
- Prior involvement in the implementation of compliance programs under Rule of the Investment Advisers Act. Experience with mutual fund compliance programs under Rule 38a-1 of the Investment Company Act a plus.
- Management experience with direct supervision of a team.
- A series of progressive roles in compliance and a proven track record of success.
- Strong sense of integrity, and capable of performing consistent with the firm's core values and principles
- Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands.
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Deputy, Chief Compliance Officer - Newport Beach, United States - PIMCO
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.
As a key member of PIMCO's Compliance team, the Deputy Chief Compliance Officer will have responsibility for providing strategic leadership and oversight for a broad range of compliance work, with particular emphasis on partnering with PIMCO's Global Chief Compliance Officer to administer the firm's Compliance Program.
The successful candidate will bring deep investment management expertise, and will be expected to work closely with members of senior management to provide perspective, insights and feedback on Compliance.
This role will provide senior leadership across teams that implement key functions within the Compliance department. The role will frequently interact with members of senior management to provide perspective, insights and feedback on Compliance. In addition, role will entail interaction with clients to discuss the firm's compliance program and initiatives.
Ideally, the candidate will have meaningful leadership experience in a legal and compliance organization. This role will report to the Global Chief Compliance Officer.
This position requires an analytical professional who can:
Experience and Expertise:
The ideal candidate must bring the following qualifications:
Industry Experience:
Deep investment management expertise in the U.S.
mutual fund space is essential, while experience working with alternatives, private funds, and other relevant financial products is a plus.
Regulatory Experience:
Experience engaging with regulators, including SEC, CFTC, FINRA, or other financial regulators
Leadership Experience:
Successful track record of effectively leading and developing a high-performing team.
The successful candidate will possess the following personal attributes:
Executive Presence:
Dynamic executive presence and communication skills at the senior leader level. Ability to effectively develop relationships with key executives and business partners.
Execution Orientation:
Willingness to move quickly and flexibly to provide timely and practical advice. A creative problem-solver with strong analytical skills.
Collaborative:
Excellent collaboration skills, with the ability to work effectively with both internal and external stakeholders, and with members of his/her team.
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:
$ 250, $ 360,000.00
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.
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 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.
Deputy, Chief Compliance Officer professionals in Newport Beach
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Bob Klein
Bob Klein is the founder of Medici Capital. Previously he was a Managing Director and Financial Advi ...