PIMCO is a global leader in active fixed income. With our launch in 1971 in Newport Beach, California, PIMCO introduced investors to a total return approach to fixed income investing. In the 50+ years since, we have worked relentlessly to help millions of investors pursue their objectives - regardless of shifting marketing conditions. As active investors, our goal is not just to find opportunities, but to create them. To this end, we remain firmly committed to the pursuit of our mission: delivering superior investment returns, solutions, and service to our clients.
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.
Position Description
The individual will be responsible for providing direct support to the firm's broker-dealer regulatory compliance program in the following areas, among others: financial intermediary due diligence, conflict of interest reviews, recordkeeping management; licensing and registration activities of registered representatives; surveillance of electronic communications; compliance training; branch office inspections; compliance monitoring and testing related to compliance program requirements, support policies & procedure development, as well as special projects.
A successful candidate will also be expected to maintain a general understanding of global compliance policies, specific regulatory requirements and their relevance to particular aspects of PIMCO's business, related compliance monitoring procedures and documentation protocols.
Key Responsibilities: - Execute initial and on-going due diligence for financial intermediaries
- Conduct compliance monitoring reviews related to potential conflicts of interest
- Monitor registered representatives and associate person activities in consideration of FINRA and NFA licensing and registration requirements
- Conduct surveillance of electronic communications of FINRA registered representatives
- Support the development and implementation of compliance policies and procedures
- Perform annual compliance program reviews and testing of broker-dealer controls
- Conduct annual inspections of the firm's OSJs and branch offices
- Assist the Legal and Compliance department with on-going initiatives as needed
Professional Skill Requirements: - Ability to interact with colleagues of all levels and clearly understand complex concepts is required
- Excellent organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines
- Knowledge of the following is preferred: compliance programs, policies and requirements, and broker-dealer regulatory requirements
- Strong background in utilizing Microsoft software suite, with a focus on Excel, including formulas (e.g., vlookup, etc.) and pivot tables
- Demonstrated ability to think innovatively and to execute in a focused highly tactical manner
- Ability to work in a self-directed manner is critical, successful individual will pro-actively identify issues and be solution oriented
- Communicate effectively including strong business writing and verbal skills
- Ability to flourish in a challenging, fast-paced and professional environment with frequent shifts in priorities as business needs dictate
- Demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization
- Must have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO
Role Requirements: - Work experience in the financial services/asset management industry is required, applicable legal and compliance experience is preferred
- An undergraduate degree is required, graduate degree or Juris Doctorate preferred
- FINRA Series 7 and 24 registrations required, or must be obtained within six months of hire
- Understanding of conflicts of interest and how they can affect PIMCO's business
- General knowledge of regulatory requirements applicable to U.S. broker-dealers
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: $ 89,000.00 - $ 116,000.00
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. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable 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 949-720-7744 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.
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