Senior Associate, Compliance – Adviser Program Oversight
Core
Supporting and enhancing PIMCO's U.S. investment adviser compliance program to ensure regulatory alignment and strengthen governance frameworks.
Role type
Senior Associate, Compliance (Investment Adviser Program Oversight)
Builds
Global adviser compliance program policies, procedures, risk assessments, and monitoring activities for separate accounts, registered funds, and alternatives/private funds.
Domain
Investment Management / Financial Services / U.S. Regulatory Compliance
Required skills
U.S. regulatory knowledge (Investment Advisers Act of 1940), compliance policy development, risk assessment and testing, conflict-of-interest management, process improvement, written and verbal communication, analytical problem solving.
Preferred skills
Experience in sophisticated investment management environments, familiarity with fixed income/alternatives/derivatives/commodities/equities, cultural awareness, adaptability.
Technologies
None explicitly stated.
Responsibilities
Contribute to policies, procedures, training, and monitoring activities for the global adviser compliance program; Partner with global Compliance colleagues to harmonize approaches and ensure consistent application of regulatory standards; Contribute to risk assessment and testing programs including building risk matrices and conducting control tests; Draft, review, and enhance compliance policies and procedures; Prepare internal and external compliance communications; Identify and implement process improvements leveraging technology and automation.
Seniority
Senior, hands-on IC