Regulatory Compliance, VP

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.

POSITION OUTLINE:

The Regulatory Compliance VP will support general business and regulatory compliance matters for Hong Kong and also provide periodic regional coverage for other offices in North Asia. This position will be based in Hong Kong.  

RESPONSIBILITIES:

The primary responsibilities include managing and administering the firm’s compliance programme covering areas on compliance programme monitoring, vendors and distributors onboarding and regular review, KYC/AML, trade surveillances, staff trading, marketing materials review, SFC-authorised fund authorization, maintenance of licenses, compliance training, managing internal and external audits, handling regulatory enquiries, regulation implementation and policies review, monitoring and testing of compliance programme and inspections and other regulatory requirements.

Main Responsibilities:

• Assist all aspects of the firm's compliance program.
• Provide regional coordination in relation to adhoc compliance projects in North Asia
• Participate in joint initiatives between regulatory and investment compliance teams in APAC.
• Provide regulatory support as mentioned above including policies review and regulation implementation, managing licensing, reporting and conduct requirements.
• Conduct and monitor trading activities on the trade floor addressing concerns on market mis-conducts, insider dealing, conflicts.
• Perform compliance reviews of the firm's marketing materials, product-related documents and client correspondence.
• Conduct compliance monitoring and testing against local regulatory requirements, industry best practice and company policies and procedures.
• Perform AML and sanctions checking.
• Manage audits and regulatory reviews.
• Handle various regulatory interactions including maintaining an effective documentation, notification and filing.
• Administer compliance programme on SFC-authorised funds
• Advise and guide business on group policies revisions and regulatory compliance developments and help design and enhance an effective compliance programme to implementation.

QUALIFICATIONS:

• At least 10 to 15 years working experience in compliance and/or audit in financial services with primarily exposure to asset management.  
• Degree qualified in either a finance/accounting/law discipline.
• Strong communication skills including bilingual skills in English and Chinese (spoken and written preferable).
• Confident, self-motivated, resourceful and able to take initiative and work autonomously.
• Ability to work under pressure with good organization and time management skills.

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.