Compliance Expert

4 weeks ago

London, Greater London, United Kingdom PIMCO Full time
PIMCO Job 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. 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 Requirements

  • Compliance Program Management: Oversee the testing and management of PIMCO EMEA's Compliance program related to Client Facing, Marketing, and ESG initiatives.
  • Ensure compliance with regulations concerning New Products, ESG, and Suitability Requirements, Marketing (both digital and in-person), Training, Client Reporting, and Regulatory Change Management, including implications of Brexit.
  • Regulatory Advisory: Provide pragmatic and actionable compliance advice to PIMCO's EMEA legal entities and branches, particularly in London, Munich, Milan, Madrid, and Zurich.
  • Act as a trusted advisor to business units on compliance policies and procedures, fostering a culture of compliance within the organization.
  • Program Efficiency Enhancement: Collaborate with the Client Facing and Product Strategy Departments to understand their needs and ensure compliance with applicable regulatory frameworks.
  • Identify opportunities to enhance the efficiency and effectiveness of compliance program execution.
  • Regulatory Environment Analysis: Conduct ongoing 'horizon scanning' to identify regulatory changes and emerging expectations from regulators.
  • Analyze industry best practices to continuously evolve and improve the EMEA Compliance program.
  • Global Team Contribution: Actively participate in local, regional, and global project work and working groups, contributing to the success of PIMCO's global regulatory compliance team.
  • Share insights and best practices with colleagues to foster a collaborative compliance culture.

Requirements and Qualifications

  • Experience: Proven compliance experience in the financial services sector, with a strong focus on EMEA regulations related to Client Facing Activities, Marketing, and ESG.
  • Regulatory Expertise: In-depth knowledge of UK and EU regulatory requirements, including the implications of Brexit, and a proven ability to manage and enhance risk-based compliance monitoring programs.
  • Analytical Mindset: Strong analytical skills for assessing regulatory changes and conducting 'horizon scanning' to proactively evolve compliance strategies.
  • Communication Skills: Exceptional verbal and written communication abilities, capable of conveying complex regulatory concepts clearly and delivering effective training to diverse audiences.
  • Interpersonal Skills: A collaborative team player who builds strong relationships across departments, influences stakeholders, and promotes a culture of compliance.
  • Client Service Orientation: A commitment to balancing regulatory requirements with business needs, demonstrating flexibility and adaptability in approach.
  • Attention to Detail: Meticulous organizational skills with a focus on thorough documentation and the ability to manage multiple projects in a fast-paced environment.
  • Professional Integrity: A high level of professionalism and ethical standards, with a proactive approach to identifying and addressing compliance risks.

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