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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:

GENERAL INFORMATION

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

POSITION DESCRIPTION:

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

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Conduct daily, weekly and monthly monitoring of trade surveillance reports and indicators for the firm s trading
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Perform research and review of report indicators
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Identify areas of report enhancements and automation
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Keep abreast of new internal trading systems and products to develop and implement effective surveillance oversight
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Stay informed of global regulatory and market structure changes that may affect the scope of existing surveillance program
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Liaise with the Technology, Legal, Analytics, Portfolio Risk and other trade floor partners to evolve the surveillance program.

POSITION REQUIREMENTS:

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Experience in a compliance or portfolio risk management role
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An undergraduate degree with a preferred major in business/finance
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Solid knowledge of fixed income, equity and derivative products
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Strong data analysis skills
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Possess strong communication skills, both written and verbal
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Strong working knowledge with MS Excel and Macros/Visual Basic
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Be self-directed, with the ability to proactively identify and analyze problems
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Have good organization skills with the ability to work towards and meet deadlines
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Ability to develop relationships across various global stakeholders within and outside of Legal and Compliance.
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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.