PIMCO · 5 months ago
Vice President, Compliance Officer
Newport Beach, CA
Full-time
Onsite
Senior Level
$138K/yr - $195K/yrPIMCO is a global leader in active fixed income with deep expertise across public and private markets. They are seeking a VP, Compliance Officer to enhance and manage the investment adviser compliance program, ensuring regulatory alignment and fostering a culture of compliance across the organization.
BankingCrowdfundingFinancial ServicesVenture Capital
Responsibilities
Lead and support the global investment adviser compliance program, collaborating closely with Compliance teams worldwide to drive program enhancements and ensure global consistency
Provide expert guidance on regulatory compliance for the firm’s separate accounts and alternatives/private funds businesses
Participate in the adviser’s risk assessment and testing program, including developing a risk matrix, documenting testing plans, executing testing of policies, procedures and controls and identifying enhancements based on testing results
Draft, review, implement, and make recommendations to enhance compliance policies and procedures
Oversee compliance requirements related to PIMCO’s status as a Qualified Professional Asset Manager (QPAM) under ERISA
Partner with Legal, Portfolio Management, Operations and client-facing teams to identify, assess, and address regulatory compliance matters
Proactively stay abreast of regulatory changes and business developments, applying new knowledge to enhance compliance frameworks
Take initiative in continuous learning and skill development to maintain regulatory expertise
Qualification
Required
Bachelor's degree required
Proven regulatory compliance experience within a large, diverse investment management firm, with a focus on investment management or regulatory compliance
Deep knowledge of U.S. regulatory requirements applicable to investment managers, including the Investment Advisers Act of 1940
Strong understanding of fixed income, alternatives, derivatives, commodities, and equity strategies across various investment vehicles (e.g., open-end mutual funds, closed-end funds, ETFs, separate accounts, private funds, CITs)
Exceptional problem-solving skills with the ability to analyze complex regulatory issues and develop practical solutions
Excellent verbal and written communication skills, capable of articulating clear ideas and strategies to diverse audiences
Critical thinker and quick learner with the ability to assess situations rapidly and generate actionable insights
Service-oriented mindset balancing regulatory rigor with business needs
Highly motivated self-starter with a hands-on approach and the ability to drive change
Superior organizational skills with the ability to prioritize, manage multiple tasks, and meet tight deadlines
Adaptable and flexible, able to pivot quickly in response to evolving business demands
Collaborative team player and consensus builder, effective in a matrixed global organization
Demonstrated cultural awareness and sensitivity to work effectively in a diverse, global environment
Strong integrity and commitment to PIMCO's ethical standards and values
Preferred
Advanced degree or Juris Doctorate
Company
PIMCO
PIMCO, a global investment solutions provider that manages investments for public and private pension and retirement plans and other assets.
Founded in 1971
1001-5000 employees
H1B Sponsorship
PIMCO has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (109)
2024 (101)
2023 (120)
2022 (149)
2021 (90)
2020 (69)
Funding
Current Stage
Late StageLeadership Team
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