We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset classes, strategies and vehicles: fixed income, equities, commodities, asset allocation, ETFs, hedge funds and private equity. PIMCO is one of the largest investment managers, actively managing more than $2.2 trillion in assets for clients around the world. PIMCO has over 3,070 employees in 22 offices globally. PIMCO is recognized as an innovator, industry thought leader and trusted advisor to our clients.
PIMCO is one of the world's premier fixed income investment managers with thousands of professionals around the world united in a single purpose: creating opportunities for our clients in every environment. Since 1971, we have brought innovation and expertise to our partnership with the institutions, financial advisors and millions of individual investors who entrust us with their assets. We aspire to cultivate performance and leadership through empowering our people, diversity of thought, and a commitment to an inclusive culture that engages in our global communities.
The Regulatory Compliance Officer will support general business and regulatory compliance matters for Hong Kong and also provide periodic regional coverage for other offices in North Asia. This position will be based in Hong Kong.
The primary responsibilities include managing regulatory filings, maintenance of licenses and other regulatory requirements, review and provide guidance on marketing materials, perform regular compliance monitoring including staff trading and firm-wide compliance policies, provide compliance training and managing internal and external audits.
Assist all aspects of the firm's compliance program.
Provide regional coordination in relation to adhoc compliance projects in North Asia
Participate in joint initiatives between regulatory and investment compliance teams in APAC
Provide regulatory support such as managing licensing, reporting and conduct requirements.
Perform compliance reviews of the firm's marketing materials, product-related documents and client correspondence.
Conduct compliance monitoring and testing against local regulatory requirements, industry best practice and company policies and procedures.
Perform AML and sanctions checking.
Manage audits and regulatory reviews.
Perform administrative duties including maintaining an effective documentation and filing system.
At least 3 to 8 years working experience in compliance and/or audit in financial services with primarily exposure to asset management.
Degree qualified in either a finance/accounting/law discipline.
Strong communication skills including bilingual skills in English and Chinese (spoken and written preferable).
Confident, self-motivated, resourceful and able to take initiative and work autonomously.
Ability to work under pressure with good organization and time management skills
PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and well-being of you and your family. Benefits vary by location but may include:
Medical, dental, and vision coverage
Life insurance and travel coverage
401(k) (defined contribution) retirement savings, retirement plan, pension contribution from your first day of employment
Work/life programs such as flexible work arrangements, parental leave and support, employee assistance plan, commuter benefits, health club discounts, and educational/CFA certification reimbursement programs
Community involvement opportunities with The PIMCO Foundation in each PIMCO office