Senior Compliance Officer

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.

Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking.  We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.

Its Australian PIMCO’s business is divided into Institutional Sales team and Global Wealth Management (GWM) team.  On the institutional side, PIMCO partners with a wide range of institutions, including central banks, universities, endowments and foundations, and public and private pension and retirement plans.  On the GWM distribution side, PIMCO works with financial advisors as well as individual investors pursuing personal financial goals.  PIMCO Australia is also the responsible entity and trustee for 11 Australian domiciled managed investment schemes, 5 of which are listed as ETFs with ASX and CBOE.

JOB DESCRIPTION

PIMCO is seeking a Senior Compliance Officer to be based in Sydney, Australia.  This position will report to the Head of Compliance, APAC based in Sydney and will be responsible for the Compliance function of PIMCO’s Australian office, including for facilitating the implementation and monitoring of PIMCO’s Compliance program. 

This role will entail building strong internal relationships within Australia and also regionally in APAC as well as globally.  These relationships include within the Legal and Compliance Team as well as with Operations and the Business (Account Managers and Portfolio Managers).  The role will also frequently interact with members of senior management to provide perspective, insights and feedback on Compliance issues.

The role will also be involved in coordination with regulators, external and internal auditors, and clients. 

RESPONSIBILITIES

This position requires a diplomatic and analytical professional who can: 

• Be the main point of contact on all compliance related matters
• Ensure continuing compliance with applicable regulatory requirements and market best practice, including anti-money laundering and sanctions compliance, marketing and distribution compliance
• Ensure incidents and breaches are appropriately assessment, remediated and reported
• Maintain relationship with relevant regulators and external compliance committee
• Manage regulatory and licensing matters, including licence application, variation, cessations and related licensing reporting requirements
• Oversee the first line to ensure compliance with applicable law, regulation and policies
• Build strong relationships with relevant stakeholders and provide active advice on all compliance related matters
• Support internal and external audit and regulatory reviews
• Support a range of projects (regulatory change or business initiatives) from a regulatory perspective
• Draft, review and maintain on an ongoing basis compliance manual, program and policies based on regulatory developments
• Develop and provide compliance training
• Coordinate and execute global compliance projects
• Support APAC  and global offices  in their initiatives

REQUIREMENTS

• An undergraduate or degree in Law, Accounting, Business, Finance, Economics or other related field is required.   
• 8-12 years relevant experience in risk, regulatory and compliance roles, either in a major law firm, or consultancy/accounting firm or a large and diverse global investment bank or investment management firm

• Strong knowledge of Australian financial services regulatory environment and compliance considerations
• A team player who can interact professionally, diplomatically and effectively with key internal and external stakeholders

Preferred Experience in

• Implementation and maintenance of compliance programs
• Fixed income or equities
• Responsible entity obligations
• Institution and retail sales
• Listed ETFs and LITs
• Trading and research

DESIRED COMPETENCIES

• Possess technical regulatory knowledge and skills
• Possess strong analytical skills
• Possess strong communication skills
• Develop teamwork and optimize the use of resources to achieve team or organizational objectives. Lead by persuasion and example
• Be able to prioritize multiple tasks and demonstrate timely follow-up
• Plan, track, manage, and report the implementation of projects: including associated resources, using established project management tools, techniques and/or software
• Be effective in both formal and informal presentation settings: one-on-one, small and large groups, with peers,; is effective both inside and outside the organization; commands attention and can manage group process during the presentation; can change tactics midstream if required
• Able to identify business risks: seeks relevant data, recognizes important information, and analyzes the impact and possible consequences
• Understand the business and factors that impact the business
• International and domestic compliance experience within the Institutional and Retail sector is desired

Equal Employment Opportunity and Affirmative Action Statement

PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws.

Applicants with Disabilities

PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.