Senior Associate, Compliance – Adviser Program Oversight
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 successful candidate will contribute to continuous oversight and 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 position offers the opportunity to contribute to a complex global platform and gain exposure to a broad range of investment strategies and products. PIMCO describes its compensation approach as total compensation, including a base salary and discretionary bonus. The bonus is determined by company, business, team, and individual performance. The listed salary range is $100,000 to $112,500.
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.
- Familiarity with products and strategies including fixed income, alternatives, derivatives, commodities, and equities across mutual funds, closed-end funds, ETFs, separate accounts, private funds, and CITs.
- Exceptional written and verbal communication skills, including 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.
- Adaptability and flexibility, with comfort navigating change in a dynamic global business.
- Collaborative approach and ability to build 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.
Responsibilities
- Support the global adviser compliance program across separate accounts, registered funds, and alternatives/private funds through policies, procedures, 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, conducting control testing, 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, concise internal and external compliance communications, including guidance, summaries, and documentation for governance forums.
- Identify and implement process improvements, including technology and automation opportunities that increase efficiency, strengthen controls, and reduce operational risk.
Benefits
- Discretionary bonus based on company, business, team, and individual performance
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What This Job Offers
Job Type
Full-time
Career Level
Senior
