FAQs
What is the main responsibility of the Regulatory Compliance Officer - Trade Floor in this role?
The main responsibility of this role is to execute and evolve the Compliance program in the areas of Portfolio Management, Trading, Credit Research, and Trade Processing on the trade floor. This includes advising Trade Floor personnel on PIMCO's policies and procedures as well as the applicable regulatory framework.
What are the key responsibilities of the Regulatory Compliance Officer - Trade Floor in this role?
The key responsibilities include advising the business on regulatory standards, engaging with trade floor personnel to address potential issues, contributing to the evolution of the EMEA Compliance program, collaborating with the team, executing trade floor surveillance programs, and contributing to the success of the global Trade Surveillance team.
What kind of experience is required for this role?
Proven experience with an active trade floor, previous compliance experience on a trade floor (buy-side or sell-side), and experience in executing risk-based Compliance monitoring activities with a focus on Front Office controls are essential for this role.
What financial instruments knowledge is required for this role?
Working knowledge across a broad range of Fixed Income and FX instruments, including derivatives, is required for this role.
What regulatory knowledge is necessary for this role?
Familiarity with UK and EU regulations, including MIFIDII, MIFIR, and MAR, is necessary for this role.