Compliance Officer - Personal Trade Surveillance

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.

PIMCO is a preeminent leader across fixed income strategies, including registered 40 Act funds, and is expanding its capabilities across a broad range of opportunistic and alternative strategies in the private fund space. The individual will be responsible for supporting the Code of Ethics compliance program, assisting in drafting policies and procedures and other compliance-related documents, communications, and internal reporting; oversight of employee personal trading and outside business activity requirements; and training and education. The position will be based in our corporate headquarters in Newport Beach, CA, or Austin, TX, or New York, NY.

This position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast-paced, and professional environment with frequent shifts in priorities as business needs dictate. Strong writing skills are required.

The Compliance Officer's key responsibilities include, but are not limited to the following:

• Support the development and implementation of the Code of Ethics compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally

• Draft and implement policies, procedures, memos and internal and external communications

• Identify and address situations involving potential conflicts of interest, including completing personal trading conflicts of interest reviews, conducting ongoing monitoring, and issuing compliance violations, as necessary

• Support the facilitation of regulatory filings for PIMCO Sponsored Closed-End Fund insiders as required by Section 16 of the 1934 Securities Act

• Engage with employees ranging from junior analysts to Managing Directors on any compliance reviews/matters identified

• Manage employee inquiries regarding personal trading and Code of Ethics requirements

• Manage personal trading system maintenance and development (e.g., ensuring personal accounts are added to/ removed from an automated broker feed, monthly data uploads)

• Manage quarterly compliance certification launch, follow-up, and violations process

• Generate quarterly reporting of personal investment statements for employees

• Manage firm restricted trading list coding in the personal trading system

• Facilitate onboarding of new employees

• Lead and assign various projects and ad hoc tasks

• Must take initiative in learning and applying new skills and regulations

• Proactively respond to business and regulatory changes

REQUIREMENTS:

• Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field

• Minimum of five years of previous compliance experience monitoring personal trading

• Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word

• Strong background in securities and investment products (stocks, bonds, derivatives, open-end mutual funds, closed-end funds, ETFs, private funds)

• Strong verbal/written communication skills

• Ability to work in a self-directed manner, proactively identifying issues and being solution-oriented

• Take initiative to lead projects and follow-up on outstanding items

• Strong organizational and analytical skills, high attention to detail, and problem solving ability

• Be highly communicative regarding project progress, and escalate any challenges/bottlenecks

• Highly flexible - capable of rapidly changing priorities based on business demands

• Have a high degree of discretion and ability to safeguard confidential information

• Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO.

Application Deadline: Monday, April 22, 2024 11:59pm PT.

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: $ 100,000.00 - $ 135,000.00

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.