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Regulatory Compliance Officer - Trade Floor (London)

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Pimco

2mo ago

  • Job
    Full-time
    Mid Level
  • Banking & Finance
  • London
  • Quick Apply

AI generated summary

  • You need compliance experience on a trade floor, strong regulatory knowledge, financial instruments expertise, organizational skills, attention to detail, and a professional team-player attitude.
  • You will advise, engage with trade floor personnel, contribute to compliance program evolution, collaborate with teams, execute trade floor surveillance, and contribute to global team success.

Requirements

  • Compliance Experience: Proven experience with an active trade floor is essential
  • Regulatory Compliance: Experience in executing risk-based, audit-ready Compliance monitoring activities with a focus on Front Office controls
  • Trade Floor Background: Previous compliance experience on an active trade floor, either buy-side or sell-side
  • Financial Instruments Knowledge: Working knowledge across a broad range of Fixed Income and FX instruments, including derivatives
  • Regulatory Knowledge: Familiarity with UK and EU regulations, including MIFIDII, MIFIR, and MAR
  • Organizational Skills: Excellent organization and communication skills
  • Attention to Detail: Diligence, excellent record-keeping, and the ability to work with minimal supervision
  • Professional Standards: Highest professional standards and a strong client service orientation
  • Team Player: Ability to foster good working relations and support the team’s professional standards and client service orientation

Responsibilities

  • Regulatory Standards: Advise the business in navigating and meeting regulatory standards
  • Trade Floor Engagement: Regularly engage with trade floor personnel to address potential issues identified through surveillance and respond to inquiries. This requires excellent communication skills, judgement and the ability to operate effectively in a busy, time-sensitive environment
  • EMEA Compliance Program: Contribute to the evolution of the EMEA Compliance program within a dynamic and evolving trade floor environment
  • Team Collaboration: Excel in a flat, non-hierarchical business model, fostering a team-based, collaborative approach to problem-solving
  • Trade Floor Surveillance: Execute the trade floor surveillance program across multiple fixed income asset classes and focus areas, including Market Abuse surveillance and Conflicts of Interest, ensuring adherence to policies and regulatory requirements in collaboration with global team members
  • Global Team Contribution: Contribute to the success of the global Trade Surveillance team and the wider EMEA Regulatory Compliance team

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.

Pimco

Through changing markets & changing times, PIMCO has been a global leader in active fixed income for 50+ years.

Finance
Industry
1001-5000
Employees
1971
Founded Year

Mission & Purpose

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