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Regulatory Compliance Specialist

2 months ago

London, Greater London, United Kingdom PIMCO Full time

About PIMCO

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 non-traditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.

Our Culture

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.

Job Summary

The main responsibility of this role is to execute the Compliance program across Portfolio Management, Trading, Credit Research, and Trade Processing. This includes regular engagement with trade floor personnel to ensure adherence to regulatory standards and contribute to the success of the global team.

Key Responsibilities

  • Regulatory Standards: Assist the business in meeting regulatory standards and navigating compliance requirements.
  • Trade Floor Engagement: Engage with trade floor personnel to address potential issues identified through surveillance, requiring excellent communication skills and the ability to operate effectively in a busy, time-sensitive environment.
  • EMEA Compliance Program: Contribute to the evolution of the EMEA Compliance program within a dynamic and evolving trade floor environment.
  • Team Collaboration: Excel in a flat, non-hierarchical business model, fostering a team-based, collaborative approach to problem-solving.
  • Trade Floor Surveillance: Execute the trade floor surveillance program across multiple fixed income asset classes, ensuring adherence to policies and regulatory requirements in collaboration with global team members.
  • Global Team Contribution: Contribute to the success of the global Trade Surveillance team and the wider EMEA Regulatory Compliance team.

Requirements

  • Compliance Experience: Proven experience with an active trade floor is essential.
  • Regulatory Compliance: Experience in executing risk-based, audit-ready Compliance monitoring activities with a focus on Front Office controls.
  • Trade Floor Background: Previous compliance experience on an active trade floor, either buy-side or sell-side.
  • Financial Instruments Knowledge: Working knowledge across a broad range of Fixed Income and FX instruments, including derivatives.
  • Regulatory Knowledge: Familiarity with UK and EU regulations, including MIFIDII, MIFIR, and MAR.
  • Organizational Skills: Excellent organization and communication skills.
  • Attention to Detail: Diligence, excellent record-keeping, and the ability to work with minimal supervision.
  • Professional Standards: Highest professional standards and a strong client service orientation.
  • Team Player: Ability to foster good working relations and support the team's professional standards and client service orientation.