Compliance Expert

1 month ago

London, Greater London, United Kingdom Pacific Investment Management Co Full time

Job Summary

Pacific Investment Management Co. is seeking a highly skilled Compliance Expert to join our EMEA Regulatory Compliance team in London. The ideal candidate will have extensive knowledge of EMEA regulatory frameworks, particularly in relation to Client Facing Activities, Marketing, and Environmental, Social, and Governance (ESG) considerations.

Key Responsibilities

  1. Oversee the testing and management of PIMCO EMEA's Compliance program related to Client Facing, Marketing, and ESG initiatives.
  2. 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.
  3. Provide pragmatic and actionable compliance advice to PIMCO's EMEA legal entities and branches, particularly in London, Munich, Milan, Madrid, and Zurich.
  4. Act as a trusted advisor to business units on compliance policies and procedures, fostering a culture of compliance within the organization.
  5. Collaborate with the Client Facing and Product Strategy Departments to understand their needs and ensure compliance with applicable regulatory frameworks.
  6. Identify opportunities to enhance the efficiency and effectiveness of compliance program execution.
  7. Conduct ongoing 'horizon scanning' to identify regulatory changes and emerging expectations from regulators.
  8. Analyze industry best practices to continuously evolve and improve the EMEA Compliance program.
  9. Actively participate in local, regional, and global project work and working groups, contributing to the success of PIMCO's global regulatory compliance team.
  10. Share insights and best practices with colleagues to foster a collaborative compliance culture.

Requirements

  1. Proven compliance experience in the financial services sector, with a strong focus on EMEA regulations related to Client Facing Activities, Marketing, and ESG.
  2. 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.
  3. Strong analytical skills for assessing regulatory changes and conducting 'horizon scanning' to proactively evolve compliance strategies.
  4. Exceptional verbal and written communication abilities, capable of conveying complex regulatory concepts clearly and delivering effective training to diverse audiences.
  5. A collaborative team player who builds strong relationships across departments, influences stakeholders, and promotes a culture of compliance.
  6. A commitment to balancing regulatory requirements with business needs, demonstrating flexibility and adaptability in approach.
  7. Meticulous organizational skills with a focus on thorough documentation and the ability to manage multiple projects in a fast-paced environment.
  8. A high level of professionalism and ethical standards, with a proactive approach to identifying and addressing compliance risks.

Compensation and Benefits

The estimated salary for this position is £80,000 - £100,000 per annum, depending on experience. Pacific Investment Management Co. offers a comprehensive benefits package, including health insurance, retirement savings plan, and paid time off.

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