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VP, Regulatory Compliance – 12m Contract (Munich)

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Pimco

1mo ago

  • Job
    Full-time
    Mid & Senior Level
  • Munich
  • Quick Apply

AI generated summary

  • You need 4-6 years in compliance, asset management knowledge, familiarity with financial products, strong EU/UK regulatory understanding, and excellent communication skills. Adaptability is key.
  • You will develop and implement compliance policies, monitor regulatory adherence, report to leadership, enhance program execution, analyze regulatory changes, and contribute to global compliance efforts.

Requirements

  • Experience: Minimum 4 to 6 years in compliance, legal, or audit roles within a global financial services organization, focusing on strategic advice for financial services
  • Asset Management Knowledge: Experience as a Compliance Officer in a Financial Services Firm or KVG, with a focus on investment funds, fixed income, and equity products
  • Financial Product Familiarity: Knowledge of various financial products, including derivatives, structured products, and alternative investments, is a plus
  • Regulatory Knowledge: Strong understanding of UK and EU regulations relevant to PIMCO Europe GmbH (PEG) and its branches, with the ability to navigate complex regulatory environments
  • Compliance Expertise: Proven experience in executing and enhancing risk-based, audit-ready Compliance monitoring programs
  • Communication Skills: Exceptional ability to present complex regulatory concepts clearly to diverse audiences
  • Client-Centric Approach: Commitment to high professional standards and client service, fostering collaborative relationships
  • Adaptability: Flexibility in addressing complex subject matter while understanding business needs in a regulatory context

Responsibilities

  • Compliance Program Development: Develop, promote, and implement Compliance policies, standards, and procedures to ensure PEG and EMEA staff operate in compliance with regulatory obligations
  • Maintain a best-in-class Compliance Monitoring Program covering WpHG, WpIG, GwG, BaFin ordinances, and ESMA publications (including SFDR and other sustainability-related publications), providing advice, training, regulatory filings, and monitoring activities. Coordinate internal and external audits to ensure compliance standards are met
  • Communication and Reporting: Exhibit exceptional communication skills and effectively manage a busy, time-sensitive environment. Report to PEG's Compliance Officer in Munich, with a pathway to becoming PEG's Deputy Compliance Officer
  • Business Understanding: Enhance program execution by understanding PEG's business operations, particularly in Institutional and Intermediary Client Relationship Management, Marketing, Business Development, and Portfolio Management
  • Regulatory Evolution: Evolve the EMEA Compliance program through ongoing analysis of the regulatory environment, including horizon scanning for changes and integrating industry best practices
  • Global Team Contribution: Contribute to the global regulatory compliance team focused on EU, German, and UK regulatory frameworks, while participating in local, regional, and global project work and working groups

FAQs

What is the location for this role?

The position is based in Munich, Germany.

What is the duration of the contract for this position?

The contract duration for this role is 12 months.

What is the primary focus of the Compliance Expert role?

The primary focus of the Compliance Expert role is to lead PEG's Compliance Monitoring Program, with an emphasis on branch and shareholder oversight.

What qualifications are required for this position?

Candidates should have a minimum of 4 to 6 years of experience in compliance, legal, or audit roles within a global financial services organization, along with strong knowledge of UK and EU regulatory requirements.

Is previous experience in asset management necessary?

Yes, experience as a Compliance Officer in a financial services firm or KVG, specifically with a focus on investment funds, fixed income, or equity products, is required.

What are the key responsibilities of this role?

Key responsibilities include developing Compliance policies, maintaining a Compliance Monitoring Program, effective communication and reporting, enhancing business understanding, analyzing regulatory evolution, and contributing to the global regulatory compliance team.

Are there opportunities for career advancement within the role?

Yes, there is a pathway to potentially become PEG's Deputy Compliance Officer, reporting to PEG's Compliance Officer in Munich.

What skills are essential for this position?

Essential skills include exceptional communication abilities, a client-centric approach, adaptability, and the capability to present complex regulatory concepts clearly.

Does PIMCO offer equal employment opportunity?

Yes, PIMCO recruits and hires qualified candidates without regard to race, national origin, gender, or any other factor prohibited by law, supporting the concept of equal employment opportunity and affirmative action.

How does PIMCO accommodate applicants with disabilities?

PIMCO provides reasonable accommodations for qualified individuals with disabilities in the job application process. Interested candidates can contact the dedicated line for assistance.

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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