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PIMCO · 1 day ago

Vice President, Compliance Officer

Newport Beach, CA

Full-time

Onsite

Mid, Senior Level

$138K/yr - $195K/yr

5+ years exp

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. The Vice President, Compliance Officer role is crucial for ensuring compliance with regulatory requirements and firm policies, safeguarding confidential information, and maintaining robust compliance frameworks across the organization.

BankingCrowdfundingFinancial ServicesVenture Capital

H1B Sponsor Likely

Responsibilities

Implement and monitor PIMCO’s information barriers

Assist with maintaining restricted trading lists and manage trading restrictions

Identify and escalate compliance issues, including violations, to senior management

Manage and implement PIMCO’s Expert Network procedures, including providing training to business users and liaising with providers

Assist with handling planned and inadvertent receipt of MNPI

Draft and maintain compliance policies, procedures, governance documents, and memos

Prepare internal and external communications related to compliance matters

Deliver compliance training (live and online) to Personnel about PIMCO’s MNPI Policy, information barriers, and related topics

Maintain and enhance MNPI-related training modules educational content

Work closely with colleagues from Legal and Compliance teams, Portfolio Management, Trade floor, Alternatives Business Management and Capital Markets, Client-Facing teams, and Product Strategies (and others) to address inquiries and time-sensitive compliance matters

Identify and implement process enhancements, including technology solutions, to reduce manual work

Qualification

Regulatory complianceSecurities laws knowledgeCompliance policy draftingData analysisBloomberg terminalAnalytical skillsAI tools familiarityMSBI knowledgeSQL knowledgeOrganizational skillsCommunication skillsProblem-solvingAttention to detail

Required

Bachelor's degree required

Minimum 5 years in regulatory compliance at highly regulated investment management firms, investment banks, or top-tier U.S. law firms

Understanding of securities laws related to insider trading and market abuse

Familiarity with U.S. regulatory requirements, including the Investment Advisers Act of 1940

Exposure to fixed income, alternatives, derivatives, commodities, or equity strategies across various investment products (mutual funds, ETFs, separate accounts, private funds)

High integrity aligned with PIMCO's values and ethical principles

Ability to work independently and within a matrixed organization in a fast-paced environment

Detail-oriented with a proactive approach to problem-solving and process improvement

Flexible and adaptable to shifting priorities and business demands

Strong analytical, organizational, and communication skills (written and oral)

Experience in development of reports and data analysis, including knowledge of MSBI (Power Bi/SSRS) tools

Experience using the Bloomberg terminal

Skilled in drafting clear, concise, and error-free compliance materials

Preferred

Knowledge of SQL is a plus

Familiarity with the application and use of various AI tools and prompts

Company

PIMCO

Glassdoor3.7

PIMCO, a global investment solutions provider that manages investments for public and private pension and retirement plans and other assets.

Founded in 1971

Newport Beach, California, USA

1001-5000 employees

http://www.pimco.com

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)