What are the responsibilities and job description for the VP, Compliance Officer - Alternatives (Newport Beach) position at LGBT Great?
VP, Compliance Officer - Alternatives (Newport Beach)
at PIMCO
On-site Newport Beach, California, United States Full-time Posted 10 days ago
Description
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. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking.
Overview : PIMCO is seeking a Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the investment adviser compliance program and compliance matters relating to PIMCO’s alternatives and private funds business. The position will be based in our corporate headquarters in Newport Beach, CA.
Responsibilities
- Support the development and implementation of PIMCO’s investment adviser compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally.
- Manage regulatory compliance aspects of PIMCO’s investment adviser compliance program, with a focus on the alternatives / private funds business.
- Implement and adapt the compliance program to respond to business needs and regulatory changes.
- Draft and implement policies, procedures, memos and internal and external communications.
- Participate in the Advisers’ and private funds’ 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 test results.
- Identify and address situations involving conflicts of interest.
- Work with various teams and departments including Legal, Portfolio Management, Operations, and client facing teams to identify and address regulatory matters.
- Maintain an understanding of investment adviser, investment company, and broker-dealer compliance policies, regulatory focus areas, and their relevance to PIMCO’s investment advisory business.
- Must take initiative in learning and applying new skills and regulations.
- Demonstrate integrity and a commitment to PIMCO’s values and ethical principles.
Requirements
PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance. Salary Range : $ 122,000.00 - $ 195,000.00.
Equal Employment Opportunity and Affirmative Action Statement
PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws.
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Salary : $122,000 - $195,000
