Associate – Investment Guideline Compliance

PIMCO • Newport Beach, CA

5d

About The Position

PIMCO is seeking an Associate to join its Legal & Compliance team, supporting the interpretation, implementation, and oversight of investment guidelines across a diverse range of client portfolios and investment strategies. The Guidelines Team serves as a critical partner to Portfolio Management, Account Management, Product Strategy, Legal, Compliance, and Trading teams, helping ensure investment activity remains aligned with client mandates, regulatory requirements, and internal policies. This role offers broad exposure to PIMCO's investment platform and provides a unique opportunity to develop expertise at the intersection of investments, risk management, and regulatory compliance. The successful candidate will play an important role in translating complex client and regulatory requirements into actionable portfolio compliance rules and supporting the firm's investment professionals in navigating guideline-related matters.

Requirements

• Bachelor's degree in Finance, Economics, Accounting, Business, or a related field.
• 2+ years of experience within compliance, investment management, investment operations, portfolio compliance, risk, or a related function.
• Knowledge of global equity and fixed income markets, including financial instruments such as bonds, equities, and derivatives.
• Strong Excel skills and the ability to analyze and interpret data effectively.
• Ability to understand and apply complex investment guidelines and regulatory requirements.

Nice To Haves

• Experience interpreting, negotiating, implementing, or monitoring investment guidelines and client mandates.
• Experience working with portfolio compliance or investment monitoring systems.
• Familiarity with portfolio management, investment operations, compliance, or risk management functions within an asset management organization.
• Knowledge of the Investment Company Act of 1940 and other relevant asset management regulations.
• Experience using Bloomberg, SQL, Business Objects, or similar analytical tools.
• CFA designation, active progress toward the CFA Program, JD, or MBA is a plus.

Responsibilities

• Collaborating with Account Management, Legal, Compliance, and Investment professionals to negotiate and implement investment discretions.
• Analyzing and interpreting investment restrictions sourced from client agreements, prospectuses, regulatory frameworks, and governing documents.
• Supporting the Trade Floor and Portfolio Management teams by providing guidance on investment guideline matters.
• Directing the creation, testing, and maintenance of rules within PIMCO's proprietary portfolio compliance system.
• Investigating and resolving investment guideline inquiries from business stakeholders.
• Supporting new account onboarding and guideline implementation activities.
• Identifying potential guideline issues and partnering with stakeholders on appropriate resolution strategies.
• Contributing to process improvement initiatives designed to enhance operational efficiency, scalability, and risk management controls.
• Participating in special projects related to investment guideline monitoring, regulatory developments, and compliance operations.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level