Compliance Officer, VP

About the position

PIMCO is seeking a dynamic Compliance Officer to join its global compliance team within the Legal and Compliance Department. This role will support the U.S. Registered Funds program, which includes open-end funds, exchange-traded funds (ETFs), closed-end funds, business development companies (BDCs), and interval funds. The successful candidate will be based in one of PIMCO’s U.S. offices and will play a critical role in ensuring compliance with regulatory standards and internal policies.

Responsibilities

• Support the development and implementation of the U.S. Registered Funds compliance program, collaborating with the Legal and Compliance Department to evaluate risks and adherence to policies and procedures by relevant business groups and service providers.
• Participate in the ongoing implementation and execution of the Fund’s risk assessment and testing program, including assessing key business processes and critical business risks and controls.
• Document a written testing plan and compliance testing procedures.
• Execute testing of procedures and internal controls in critical business areas.
• Evaluate, document, and present results of test work.
• Identify enhancements and remedial actions to address compliance observations.
• Assist with the oversight of the Fund’s service providers by executing due diligence as determined by the Fund’s Chief Compliance Officer (CCO) and members of the Legal and Compliance department.
• Review relevant service provider policies and procedures, including material changes.
• Review periodic certifications and annual due diligence questionnaires to identify issues for escalation and resolution.
• Execute surveillance to monitor key risks and controls related to Fund service providers.
• Monitor issues and document resolutions for recordkeeping and reporting purposes.
• Assist in coordination meetings with business stakeholders responsible for service providers.
• Collect information to assist in the efficient preparation of quarterly, annual, and periodic reporting to the Board of Independent Trustees.
• Collaborate with various teams and departments, including Legal and Operations, to identify and address regulatory matters.
• Take initiative in learning and applying new skills and regulations.
• Uphold a strong sense of integrity, consistently aligning with PIMCO’s values and ethical principles.

Requirements

• Bachelor’s degree or equivalent.
• Approx. 3-5 years of work experience focused on Registered ‘40 Act products, ideally within a global bank, major financial services firm, or global asset manager.
• Prior experience with ’40 Act products, including the fund types mentioned.
• Proficient in MS Office Suite, including Word and Excel.
• General knowledge of regulatory requirements applicable to U.S. investment managers and broker-dealers, including the Investment Company Act of 1940 and Investment Advisers Act (knowledge of FINRA rules is a plus).
• Strong background in fixed income, alternatives, derivatives, commodities, and equity strategies offered in various investment products.
• Excellent communication and presentation skills, with the ability to articulate clear ideas and strategies.
• Strong analytical and issue-spotting skills, with a critical thinking mindset.
• Ability to balance regulatory and policy standards with a practical business perspective.
• Highly motivated self-starter willing to identify opportunities for enhancement.
• Exceptional organizational skills, with the ability to prioritize tasks, follow up, produce accurate work, and meet strict deadlines.
• Highly flexible and multi-task oriented, capable of adapting to changing business demands.
• Consensus builder and team player with cultural sensitivity to work effectively in a global organization.

Benefits

• Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors.
• Discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.
• Salary Range: $137,500.00 - $195,000.00.