Senior Associate, Compliance – Adviser Program Oversight

PIMCO•Newport Beach, CA

10d

About The Position

PIMCO is seeking a highly motivated Senior Associate to join its global Legal & Compliance team. The role supports and enhances the firm’s U.S. investment adviser compliance program by ensuring regulatory alignment, strengthening governance frameworks, and promoting a culture of integrity. The position contributes to the oversight and continuous improvement of the adviser compliance program, including policy development and governance, risk assessments, compliance testing and monitoring, conflict-of-interest management, and firmwide training initiatives. The role offers exposure to a broad range of investment strategies and products across a complex global platform.

Requirements

Bachelor’s degree in Business Administration/Management, Finance, Accounting, Legal studies, or a related discipline.
Demonstrated compliance experience within a sophisticated investment management environment, preferably in adviser or regulatory compliance.
Strong knowledge of U.S. regulatory requirements applicable to investment managers, including the Investment Advisers Act of 1940.
Exceptional written and verbal communication skills, with the ability to explain complex concepts clearly and tailor messaging to varied stakeholders.
Strong analytical skills, including the ability to assess issues, identify root causes, and propose pragmatic, risk-aligned solutions.
Service-oriented approach that balances regulatory expectations with commercial priorities.
Self-starter with a hands-on attitude and ability to drive initiatives to completion in a fast-paced environment.
Excellent organizational skills, including prioritizing competing demands and meeting tight deadlines.
Adaptable and flexible, and comfortable navigating change in a dynamic global business.
Collaborative team player who builds strong relationships and consensus across functions and geographies.
Cultural awareness and ability to work effectively within a diverse, global organization.
High integrity and commitment to PIMCO’s standards, values, and fiduciary responsibilities.

Nice To Haves

Familiarity with a broad range of products and strategies, including fixed income, alternatives, derivatives, commodities, and equities across mutual funds, closed-end funds, ETFs, separate accounts, private funds, and CITs.

Responsibilities

Support the global adviser compliance program across separate accounts, registered funds, and alternatives/private funds through policy, procedure, training, and monitoring activities.
Partner with global Compliance colleagues to harmonize approaches, enhance the program, and ensure consistent application of regulatory standards worldwide.
Contribute to the adviser’s risk assessment and testing program by building and refining risk matrices, developing and documenting test plans, testing controls, and recommending improvements based on findings.
Draft, review, and enhance compliance policies and procedures to align with regulatory requirements and operational best practices.
Prepare clear and concise internal and external compliance communications, including guidance, summaries, and supporting documentation for governance forums.
Identify and implement process improvements, including technology and automation opportunities to increase efficiency, strengthen controls, and reduce operational risk.