Senior Vice President, Compliance Officer

Pimco

3mo ago

Job
Full-time
Senior Level
Legal
New York
Quick Apply

AI generated summary

You need a Bachelor's degree, 5-8 years in finance, '40 Act product experience, regulatory knowledge, investment strategy expertise, strong analytical and organizational skills, and global mindset for this Senior Compliance Officer role at Pimco.
You will oversee compliance for U.S. registered closed-end funds, adapting programs to meet regulatory requirements, conducting reviews, and collaborating with stakeholders to address regulatory matters.

Requirements

Bachelor's degree or equivalent required; a JD is considered a plus
5-8 years of relevant experience in a major financial services firm or global asset manager, with a focus on ’40 Act products such as closed-end funds, interval funds, or business development companies
Comprehensive knowledge of regulatory frameworks applicable to U.S. investment managers and broker-dealers, including familiarity with the Investment Company Act of 1940, Investment Advisers Act, and FINRA rules
A solid background in various investment strategies, including fixed income, alternatives, derivatives, commodities, and equity, across different investment products
Strong analytical skills and attention to detail, with an independent and collaborative work ethic
Creative drive and efficient use of Excel and analytical tools for data analysis
Exceptional organizational abilities, capable of prioritizing tasks, meeting deadlines, and adapting to changing business needs
Strong communication, presentation, and analytical skills, with the ability to think critically and balance regulatory requirements with business perspectives
Team-oriented with a global mindset, cultural sensitivity, and proficiency in MS Office suite

Responsibilities

Provide direct support to U.S. registered closed-end funds, particularly those operating as interval funds or business development companies
Implement and adapt the compliance program to new regulatory requirements
Conduct annual reviews of the Funds, Adviser and broader , compliance policies, and procedures
Assist in the oversight of the Fund’s affiliated and third-party service providers
Maintain an understanding of investment company, broker-dealer, and investment advisory compliance policies, regulatory focus areas, and their relevance to U.S. Registered Funds
Develop and oversee the U.S. Registered Funds compliance program, ensuring adherence to policies and procedures and federal securities laws
Administer the funds' compliance program, including compliance with co-investment exemptive relief granted by the SEC
Support compliance program enhancements in response to evolving regulatory requirements and business changes
Participate in the Fund’s risk assessment and testing program, including developing a risk matrix, documenting testing plans, executing testing procedures, and identifying enhancements based on test results
Oversee the Fund’s service providers, conducting due diligence, monitoring risks and controls, and documenting issue resolution
Experience in drafting and coordinating executive level reporting to the Board of Independent Trustees including the Annual Written Report of the Fund CCO
Collaborate with various stakeholders to address regulatory matters including external counsel and stakeholders in other PIMCO departments
Demonstrate initiative, integrity, and a commitment to PIMCO’s values and ethical principles

FAQs

What is the primary focus of the Senior Compliance Officer role at PIMCO?

The primary focus of the Senior Compliance Officer role at PIMCO is to oversee the U.S. Registered Funds 38a-1 compliance program, which includes various types of funds such as open-end funds, exchange-traded funds, closed-end funds, business development companies, and interval funds.

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