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Alternatives Compliance Officer
4 months ago
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. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence.We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.
Position OverviewAlternatives Compliance
Program focus
- The primary responsibility of this role is the execution and evolution of the Compliance program in PIMCO's Alternatives business area including Marketing and Product Strategy, Alternatives Finance, Portfolio and Asset Management.
- The role involves regular engagement with walledoff Alternatives portfolio management and support personnel as well as public side portfolio management personnel on Alternatives transactions. This requires excellent communication skills and the ability to deal effectively in a busy and timesensitive environment.
- In addition, the role will involve the provision of compliance advice; the production of timely and relevant management information; and regular discussions with Alternative and firm senior leadership. The role will also include coverage of the firms control group in management of information barriers as well as support on monitoring and surveillance tasks,
Compliance program
- The role is part of the broader EMEA Regulatory Compliance team, which is charged with identifying key risk areas for Compliance and adapting the Compliance program and resource allocations accordingly.
- The "playercoach" model is prevalent at PIMCO. This demands that staff "get their hands dirty" and work well in a teambased environment with a collegiate and collaborative approach to problem solving. This includes execution of the Alternatives Compliance program across Alternatives portfolio management and support functions as well as testing and surveillance of staff activity to ensure adherence to policies and regulatory requirements in collaboration with other team members locally and globally.
Requirements:
Compliance experience in alternative products and is key to success in this role
- Experience in developing a riskbased, auditready Compliance program with a focus on firstline controls and related Compliance activities in Alternatives. A solid background in alternative products including real estate (debt and equity), private credit, specialized financing and distressed credit are a must for this role. A strong knowledge of the spectrum of antifinancial crime domains, including AML/KYC, sanctions, antibribery and corruption, tax evasion and fraud is preferred. An understanding of risks around inside information and management of information barriers is also desirable.
- Strong knowledge of regulatory requirements and expectations applicable to Alternatives products in the context of the broader regulatory framework applicable to PIMCO Europe.
- A clear, detailed, logical approach with excellent record keeping and the ability to work with little supervision is essential.
Equal Employment Opportunity and Affirmative Action Statement
Applicants with Disabilities
- PIMCO is an Equal Employment _
- Opportunity/Affirmative_
