Funds Compliance Officer, VP

PIMCO is a global leader in active fixed income. With our launch in 1971 in Newport Beach, California, PIMCO introduced investors to a total return approach to fixed income investing. In the 50+ years since, we have worked relentlessly to help millions of investors pursue their objectives - regardless of shifting marketing conditions. As active investors, our goal is not just to find opportunities, but to create them. To this end, we remain firmly committed to the pursuit of our mission: delivering superior investment returns, solutions, and service to our clients.

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.

Through our Dublin based Management Company, we manage a significant range of UCITS and liquid AIFs, which are distributed around the world. We are looking for an experience Funds Compliance Officer to support the Designated Person for Regulatory Compliance for our Irish fund range.

Position Description

Funds Compliance Program Focus:

• The primary responsibility of this role is the execution of the Funds Compliance Programme.
• This includes conducting monitoring activities in accordance with the risk based compliance monitoring plan, documentation of results and creation of management information.
• Continuous enhancements of the program as appropriate is an additional expectation.

Assist the firm in meeting regulatory expectations:

• Review, and where necessary draft and implement relevant compliance policies and procedures including propose enhancements to oversight activities.
• The Funds Compliance Officer will advise on and monitor compliance with the laws and regulations governing the Funds and its Management Company.
• Provide regulatory advise if needed and prepare management information as well as Board reports.

Delegate Oversight and issue resolution:

• Manage the Compliance aspects of the oversight program of the Funds' delegates (e.g. Fund Administrators and Investment Advisers).
• Review and Advise on breaches, liaise with the Depository and advise on their solution.
• Support the Distributor Oversight programme.

Excellent written and verbal communication skills are key to success:

The role requires ongoing communication and coordination with members of the Legal & Compliance team, other business areas as well as external parties (administrators, depository, etc), therefore excellent communication skills are crucial.

Requirements:

Experience in Funds Compliance programs and Delegate oversight is key to success:

• At least 5 years of relevant experience (Compliance or risk functions, or audit/consulting experience in investment management with a focus on UCITS Management Companies.
• Experience with performing monitoring activities, audits or other forms of reviews requiring critical thinking and judgment.

Strong Knowledge of regulatory standards and expectations:

• The candidate will be expected to have a strong knowledge in a majority of the following subjects: UCITS and AIFMD.
• Fund Governance and CP86.
• Investor protection.
• Product governance.
• Conflicts of Interest and Delegate oversight
• Experience with the preparation of senior management reports and Board Reports is desirable.

Excellent organization and communication skills:

• Self-starter with an ability to work effectively in a fast paced and evolving environment.
• Overall good communication, time management and delivery skills are required.
• Clear, concise communication skills and experience at presenting complex subject matter to business audiences is desirable.

Highest professional standards and client service orientation essential for success in the role:

• The candidate must be a team player with ability to foster good working relations and support the team's professional standards and client service orientation.
• Flexibility in approaching complex subject matter and understanding the business needs in the context of regulatory requirements is crucial.

Equal Employment Opportunity and Affirmative Action Statement

PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), 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.

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