Job Description:

General Information

Ref #: 31073

Functional Area: Compliance

Employee Type: Full Time

Location: Newport Beach

Date published: 22-Jul-2021

About Us:

We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset classes, strategies and vehicles: fixed income, equities, commodities, asset allocation, ETFs, hedge funds and private equity. PIMCO is one of the largest investment managers, actively managing more than $1.91 trillion in assets for clients around the world. PIMCO has over 2,800 employees in 17 offices globally. PIMCO is recognized as an innovator, industry thought leader and trusted advisor to our clients.
PIMCO is one of the world's premier fixed income investment managers with thousands of professionals around the world united in a single purpose: creating opportunities for our clients in every environment. Since 1971, we have brought innovation and expertise to our partnership with the institutions, financial advisors and millions of individual investors who entrust us with their assets. We aspire to cultivate performance and leadership through empowering our people, diversity of thought, and a commitment to an inclusive culture that engages in our global communities.

Position Description:

This is an ideal opportunity for individuals interested in pursuing a career in a fast paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. In this role, you will learn about trades, trade strategies, the impact of trades to client portfolios, and the implementation of rules and regulations. The Trade Compliance team is responsible for reviewing fixed-income and equity trades, on a pre and post trade basis, to ensure compliance with applicable restrictions. The Analyst will have broad exposure to the entire Investment Guideline Compliance process. Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Technology, Account Management, Product Strategy and the Trade Floor.
RESPONSIBILITIES Key responsibilities include:

• Analyzing transactions and portfolio holdings with respect to regulatory, client, and internal guidelines and calculating various risk parameters


• Researching and addressing inquiries related to investment guidelines from the Trade Floor and other internal/external parties.


• Confirming all trades are compliant by the end of each business day


• Preparing various reports on a daily basis to relevant internal groups


• Participating in numerous ad hoc projects tied to optimizing and automating the Trade Compliance process

Position Requirements:

POSITION REQUIREMENTS

• Minimum of a Bachelor's Degree (Accounting, Business, Finance or Economics preferred)


• 1 - 5 years of professional experience in compliance or the investment management industry


• Basic knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives.


• Intermediate/advanced working knowledge of MS Excel.

PREFERRED QUALIFICATIONS

• Experience monitoring transactions in a compliance system is ideal


• Exposure to querying, particularly with SQL and Business Objects


• Experience with Bloomberg


• CFA designation or active status in the CFA program is a plus

PROFESSIONAL SKILLS REQUIREMENTS

• Have a strong sense of honesty and integrity


• Quick learner and adaptable to learn new processes, concepts, and skills


• Maintaining a strong commitment to quality and attention to details; ensuring that relevant work product is complete, accurate and on time.


• Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization in an effective and collaborative manner


• Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output


• Highly motivated self-starter with the ability to work collaboratively and independently


• Desire to take initiative and contribute to the department and the organization

Benefits:

PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and well-being of you and your family. Benefits vary by location but may include:

• Medical, dental, and vision coverage


• Life insurance and travel coverage


• 401(k) (defined contribution) retirement savings, retirement plan, pension contribution from your first day of employment


• Work/life programs such as flexible work arrangements, parental leave and support, employee assistance plan, commuter benefits, health club discounts, and educational/CFA certification reimbursement programs


• Community involvement opportunities with The PIMCO Foundation in each PIMCO office

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