Senior Compliance Officer (Private Credit)

8 - 10 years experience  • 

Salary depends on experience
Posted on 03/20/18
8 - 10 years experience
Salary depends on experience
Posted on 03/20/18

Job ID #: 16884

Position Description

POSITION SUMMARY

This position will be within the Alternatives Compliance Team, which is part of the larger Regulatory Compliance team within the Legal and Compliance Department at PIMCO’s offices in New York, NY.   
This individual is responsible for supporting the CCO of Alternatives with the development and implementation of PIMCO’s compliance program globally.  The individual will be expected to function as a generalist and work independently as the primary contact for the Alternatives Compliance team in New York while maintaining a high degree of connectivity with the CCO and all members of the Alternatives Compliance team globally.
This role will involve oversight of various aspects of the Alternatives compliance program globally, including distribution activities; NFA compliance program; information barriers; implementation of compliance policies and procedures, investment-related issues (e.g., AML/KYC, anticorruption reviews, allocation); and surveillance and testing.  The individual will be expected to drive enhancements to the Alternatives compliance program globally at the direction of the CCO of Alternatives.
A primary aspect of this role will require partnering with the various Alternatives teams, including Alts Legal, Product Strategies and Alts Finance.  As a member of the larger Regulatory Compliance team, the Alternatives Senior Compliance Officer is responsible for maintaining connectivity with the Regulatory Compliance team in all areas and on a global basis to ensure that PIMCO’s compliance program with respect to Alternatives is implemented consistently across the firm.


RESPONSIBILITIES


This position requires an analytical, detailed professional who can 

  • Oversee the implementation of the Alternatives compliance program globally

  • Collaborate with Alts Compliance team in London (covering the EMEA region) to ensure consistency across Alts globally and provide support

  • Partner with Alts Legal globally on various issues, including investments and policy and procedure interpretation and implementation

  • Advise on marketing and distribution

  • Assist with implementation of NFA compliance program

  • Participate in the deal approval process when regulatory compliance approval is required, in accordance with internal procedures

  • Serve as a knowledgeable and experienced resource for members of the Alternatives Compliance team and 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

  • Continually build an understanding of PIMCO and, in particular, the Alternatives business and its operations, including operation of the information barrier

  • Work with various departments including Regulatory Compliance, Alts Legal, Alts Finance and Product Strategies to identify and address regulatory risks

  • Proactively respond to business and regulatory changes

  • Digest complex concepts into clear and sound advice for dissemination across the firm

Position Requirements

  • 8+ years of regulatory compliance experience with a large and diverse investment management firm

  • Strong background in fixed income instruments; derivatives; alternative products; including private equity, private credit and structured products; and quantitative strategies

  • Strong knowledge of regulatory requirements applicable to investment managers including the Investment Advisers Act

  • Experience interacting with senior management including trade floor and business personnel

  • Experience with risk assessment and testing programs preferred

  • Service oriented: ability to balance regulatory and policy standards along with a business perspective

  • Willingness to “roll up sleeves” and ability to drive change

  • Exceptional organizational skills: ability to effectively prioritize tasks, follow up, produce consistently accurate work and meet strict deadlines

  • Demonstrated ability to execute projects/initiatives in a focused and highly tactical manner

  • Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands
  • Must take initiative in learning and applying new skills and regulations

  • Demonstrated key competencies and leadership skills necessary to be successful at PIMCO (i.e. Learning Agility, Results Orientation, Intellectual Rigor, Emotional Intelligence, etc. etc.)

PIMCO is an equal opportunity employer.

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.

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