Trade Compliance - Senior Associate

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.

POSITION DESCRIPTION:

This is an ideal opportunity for individuals interested in pursuing a career in a fast paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. In this role, you will learn about trades, trade strategies, the impact of trades to client portfolios, and the implementation of rules and regulations. The Trade Compliance team is responsible for reviewing fixed-income and equity trades, on a pre and post trade basis, to ensure compliance with applicable restrictions. The Analyst will have broad exposure to the entire Investment Guideline Compliance process. Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Technology, Account Management, Product Strategy and the Trade Floor.

RESPONSIBILITIES

Key responsibilities include:

• Analysing transactions and portfolio holdings with respect to regulatory, client, and internal guidelines and calculating various risk parameters
• Researching and addressing inquiries related to investment guidelines from the Trade Floor and other internal/external parties.
• Confirming all trades are compliant by the end of each business day
• Preparing various reports on a daily basis to relevant internal groups
• Participating in numerous ad hoc projects tied to optimising and automating the Trade Compliance process

POSITION REQUIREMENTS

• Minimum of a Bachelor's Degree (Accounting, Business, Finance or Economics preferred)
• 5-7 years of professional experience in compliance or the investment management industry
• Basic knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives.
• Intermediate/advanced working knowledge of MS Excel.

PREFERRED QUALIFICATIONS

• Experience monitoring transactions in a compliance system is ideal
• Exposure to querying, particularly with SQL and Business Objects
• Experience with Bloomberg
• CFA designation or active status in the CFA program is a plus

PROFESSIONAL SKILLS REQUIREMENTS

• Have a strong sense of honesty and integrity
• Quick learner and adaptable to learn new processes, concepts, and skills
• Maintaining a strong commitment to quality and attention to details; ensuring that relevant work product is complete, accurate and on time.
• Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organisation in an effective and collaborative manner
• Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
• Highly motivated self-starter with the ability to work collaboratively and independently
• Desire to take initiative and contribute to the department and the organisation

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.

Applicants with Disabilities

PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.