Senior Associate, Fund Regulatory and Risk Operations

PIMCO • Newport Beach, CA

1d • $100,000 - $112,500 • Onsite

About The Position

The team plays an essential role in ensuring the day-to-day operational excellence of reporting to U.S. regulators, including the SEC, CFTC, NFA, and FINRA. As a Senior Associate, you will be key in contributing to PIMCO processes around existing reporting regimes, as well as through the implementation of growing regulatory reporting requirements. We are seeking a proactive and analytical individual to assist with the completion of various regulatory and lobbyist filings. This person will also assist in the day-to-day operational oversight of various reporting that has been outsourced to service providers, ensuring the accuracy and completeness of final reporting documents and backup validations. This role requires someone who can identify discrepancies, ask probing questions, and dig deeper into the data. The ideal candidate will have a solid understanding of regulatory filings such as Form ADV, Form 600, and 17-H. Key responsibilities include improving oversight and identifying opportunities for process improvements and cross-validation across different forms and reports. The candidate will support leadership and have growth opportunities including cross-functional engagement and projects.

Requirements

• Minimum of a bachelor’s degree from an accredited college/university preferred in Accounting or Finance major
• 3+ years of work experience in the investment management or financial service industry, with a focus on mutual fund regulatory reporting, regulatory compliance, or accounting.
• Experience with the implementation of US regulatory reporting and/or direct responsibility for operational teams supporting the day-to-day processes related to regulatory reporting.
• Ability to interpret regulatory guidance and review operational output, and navigate across functions to ensure optimal output.
• Ability to work independently and across various teams to review and resolve issues, problem-solve, and escalate when needed.
• Strong aptitude to work with data.
• Analytical mindset, proficient with Excel functions/formulas, with attention to detail.
• Broad understanding of registered investment companies, fund administration functions, financial products, securities law, and investment accounting.
• Excellent project management skills, with experience implementing and improving processes and change management.

Responsibilities

• Produce accurate, complete, timely reporting, including, but not limited to, preparation of certain U.S. regulatory filings and state and local lobbyist filings, reviewing and interpreting regulatory reporting requirements, monitoring reporting thresholds, maintaining procedures governing filing workflows, and review of offering documents for regulatory consideration.
• Provide oversight of managed service provider reporting; act as an escalation point for reporting exceptions and for navigating structural reporting issues.
• Coordinate with internal and external teams to ensure the timely and accurate completion of regulatory reports and responding to various information requests, including 3rd party, client, and investor requests related to filings.
• Partner with technology, vendors, and across functions to continuously improve processes and seek efficiencies.
• Assist with ad hoc projects, including improvements related to fund events, dependency governance, scoping and cross-functional reporting.

Benefits

• Base salary and a discretionary bonus
• Reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures.

What This Job Offers

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