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Compliance Associate Trade Surveillance at PIMCO

Posted in Compliance 30+ days ago.

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Type: Full Time
Location: Newport Beach, California

Job Description:


Ref #: 24724

Functional Area: Compliance

Employee Type: Full Time

Location: Newport Beach

Experienced Required: Please See Below

Education Required: Bachelors Degree

Department: L&C-Compliance-Surveillance

Date published: 08-Aug-2018


The Compliance Associate will work with the Investment Compliance team within the Legal and Compliance Department at PIMCO s headquarters in Newport Beach, CA, responsible for working to facilitate PIMCO s compliance program, particularly the Trade Surveillance team.

The Trade Surveillance team monitors firm-wide trading across all traded products globally for adherence to trade allocation, cross trades, same day trades, market manipulation and potential conflicts of interest policies and regulations. The candidate will be responsible for review, research and escalation of day-to-day exception reports as well as building trending

The candidate will work closely with teams and individuals in the Legal & Compliance Department and across all functional areas within the firm, as well as with non-U.S. offices. The candidate may be expected to interact with employees across functions and at all levels of seniority, dealing with issues in a fast paced environment.

Keys to success in this role include the ability to handle multiple tasks simultaneously, maintain strong organizational skills, demonstrate proactivity, provide accurate and direct practical advice in a timely fashion, and possess strong communication skills (both written and verbal).

Key Responsibilities


Conduct daily, weekly and monthly monitoring of trade surveillance reports and indicators for the firm s trading

Perform research and review of report indicators

Identify areas of report enhancements and automation

Keep abreast of new internal trading systems and products to develop and implement effective surveillance oversight

Stay informed of global regulatory and market structure changes that may affect the scope of existing surveillance program

Liaise with the Technology, Legal, Analytics, Portfolio Risk and other trade floor partners to evolve the surveillance program.



Experience in a compliance or portfolio risk management role

An undergraduate degree with a preferred major in business/finance

Solid knowledge of fixed income, equity and derivative products

Strong data analysis skills

Possess strong communication skills, both written and verbal

Strong working knowledge with MS Excel and Macros/Visual Basic

Be self-directed, with the ability to proactively identify and analyze problems

Have good organization skills with the ability to work towards and meet deadlines

Ability to develop relationships across various global stakeholders within and outside of Legal and Compliance.

Minimum of 2 years experience

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.