POSITION DESCRIPTION:
This is an exciting opportunity to work in a fast-paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. The Guidelines Team is responsible for accurately coding and automating client, regulatory, and internal guidelines within the compliance system. This individual will have broad exposure to the entire Investment Guideline Compliance process. Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Technology, Account Management, Product Strategy and the Trade Floor.
RESPONSIBILITIES
Key responsibilities include:
- Interpreting and maintaining compliance rules based on investment guidelines and regulations, with a focus and deep understanding of specific regulatory regimes (40-act, UCITS, AIF)
- Facilitating and contributing to numerous analytical/technical ad hoc projects aimed at automating account guideline compliance and optimizing workflows.
- Ensuring that the guideline interpretations of accounts’ restrictions are accurately reflected in the compliance system
- Researching and addressing various inquiries regarding the interpretation, functionality or compliance status of compliance rules
POSITION REQUIREMENTS
- Minimum of a Bachelor’s Degree (Accounting, Business, Finance or Economics preferred)
- Demonstrated professional experience in compliance or the investment management industry, including roles of increasing scope and responsibility.
- Intermediate knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and listed and OTC derivatives.
- Knowledge of UCITS, AIFMD, 40-act or other common legal/regulatory practices
- Intermediate/advanced working knowledge of MS Excel.
PREFERRED QUALIFICATIONS
- Prior working experience within or directly servicing a fund management company
- Experience with coding in a compliance system is ideal
- Exposure to querying, particularly with SQL and Business Objects
- Experience with Bloomberg
- CFA designation or active status in the CFA program is a plus
PROFESSIONAL SKILLS REQUIREMENTS
- Have a strong sense of honesty and integrity
- Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization
- Quick learner and adaptable to learn new processes, concepts, and skills
- Maintaining a strong commitment to quality and attention to details, ensuring that relevant work product is complete, accurate and on time.
- Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
- Highly motivated self-starter with the ability to work collaboratively and independently
- Desire to take initiative and contribute to the department and the organization
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: $ 120,000.00 - $ 135,000.00
