Associate, Guidelines Compliance (Newport Beach)

Legal & Compliance Team Member

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 Description

We are excited to present a unique opportunity to join our Legal & Compliance department, where you will play a pivotal role in managing investment guidelines using PIMCO's proprietary compliance system. The Guidelines Team is tasked with interpreting and implementing client, regulatory, and internal guidelines into our compliance framework.

As a member of the Guideline Compliance team, you will gain comprehensive exposure to the entire Guideline Compliance process, collaborating with a diverse range of teams across various levels of seniority, including Legal & Compliance, Account Management, Product Strategy, and the Trade Floor.

Key Responsibilities

On any given day, your work may involve:

• Collaborating with Client Facing and Legal teams to negotiate investment discretions effectively
• Interpreting investment restrictions from various sources, including regulatory frameworks, to ensure compliance
• Supporting the Trade Floor in making informed investment decisions
• Directing the creation and implementation of rules within the compliance system to align with guidelines
• Researching and addressing inquiries related to investment guidelines, providing clarity and support
• Participating in a variety of ad hoc projects focused on investment guideline interpretation and compliance enhancement

You Will Excel in This Role If You:

• Uphold a strong sense of honesty and integrity in all professional interactions
• Are a quick learner, adaptable to new processes, concepts, and skills in a dynamic environment
• Exhibit a strong commitment to quality and possess meticulous attention to detail
• Have excellent communication and interpersonal skills, enabling effective collaboration across teams
• Can manage multiple competing priorities and projects with ease and efficiency

Required Qualifications

To succeed in this role, you will need:

• A minimum of a Bachelor's Degree in Accounting, Business, Finance, or Economics (preferred)
• Professional experience in compliance or the investment management industry
• Basic to intermediate knowledge of global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives
• Intermediate to advanced proficiency in MS Excel

Preferred Qualifications

• While not mandatory, the following qualifications would be advantageous:
• Experience in negotiating, interpreting, and implementing guidelines within a compliance system
• Familiarity with the Investment Company Act of 1940 or other common legal/regulatory practices
• Proficiency with Bloomberg, SQL, or Business Objects
• CFA designation or active status in the CFA program, and/or a JD or MBA degree

Join us in this rewarding role where your expertise and passion for compliance will contribute to our commitment to excellence and integrity in investment management.

PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance. Salary Range: $ 87,000.00 - $ 93,000.00

PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion, sex, sexual orientation, gender, age, military or veteran status, disability, 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.

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 View phone number on click.appcast.io 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.