Senior Regulatory Compliance Officer

London, United Kingdom
19 Oct 2019
09 Nov 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About Us:

We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset classes, strategies and vehicles: fixed income, equities, commodities, asset allocation, ETFs, hedge funds and private equity. PIMCO is one of the largest investment managers, actively managing more than $1.88 trillion in assets for clients around the world. PIMCO has over 2,800 employees in 17 offices globally. PIMCO is recognized as an innovator, industry thought leader and trusted advisor to our clients.

PIMCO is one of the world's premier fixed income investment managers with thousands of professionals around the world united in a single purpose: creating opportunities for our clients in every environment. Since 1971, we have brought innovation and expertise to our partnership with the institutions, financial advisors and millions of individual investors who entrust us with their assets. We aspire to cultivate performance and leadership through empowering our people, diversity of thought, and a commitment to an inclusive culture that engages in our global communities.

Position Description:

In Europe, we manage domestic, regional and global mandates, combining deep local expertise with the breadth of our firm-wide investment resources. We have an established reputation of innovation and we continue to evolve as a provider of investment solutions across all asset classes. We have attracted and retained key professionals, in part by providing a dynamic working environment and culture that rewards staff for excellence and their contribution.
Position Overview - Senior Compliance Officer Regulatory Compliance EMEA
Trade Floor Compliance focus
The primary responsibility of this role is the execution and evolution of the Compliance program in the areas of Portfolio Management, Trading, Credit Research and Trade Processing.
Assist the business in meeting regulatory standards
The role involves regular engagement with trade floor personnel to follow up on potential issues identified through surveillance. This requires excellent communication skills and the ability to deal effectively in a busy and time sensitive environment.
In addition, the role will also involve the provision of compliance advice to trade floor personnel; the production of timely and relevant management information; and regular discussions with Portfolio Management senior leadership.
Evolve the EMEA Compliance program
The role is part of the EMEA Regulatory Compliance Management team which is charged with identifying key risk areas for Compliance and adapting the Compliance program and resource allocations accordingly.
This requires "horizon scanning" for regulatory changes, expectations voiced by regulators through various publications and industry best practices to assess the potential for enhancing the EMEA Compliance program.

Excel in a strong "player-coach" model in a flat, non-hierarchical business
The "player coach" model is prevalent at PIMCO with few, if any, "pure managers". This demands that staff "get their hands dirty" and work well in a team based environment with a collegiate and collaborative approach to problem solving.
This includes execution of the trade floor surveillance program across multiple fixed income asset classes, including testing and surveillance of EMEA wide trade floor activity to ensure adherence to policies and regulatory requirements in collaboration with other team members globally.
Contribute to the success of a truly global team
The candidate will be expected to contribute to the wider regulatory compliance team as well as to get involved in or lead local, regional and global project work and working groups.

Position Requirements:

Compliance experience with an active trade floor is key to success in this role
As a member of the regional Regulatory Compliance management team, experience in developing a risk based, audit-ready Compliance program with a focus on Front Office controls and related Compliance activities is a must for this role.
Significant previous compliance experience on an active trade floor is essential, either buy or sell side. In particular, strong knowledge across a broad range of Fixed Income and FX instruments including derivatives is essential.
The candidate should have extensive knowledge of UK and EU regulation
Strong knowledge of regulatory requirements and expectations for Portfolio Management and Trading activities, including but not limited to requirements under MIFIDII, MIFIR and MAR
Excellent organization and communication skills

Strong knowledge of regulatory requirements and expectations for Portfolio Management and Trading activities, including but not limited to requirements under MIFIDII, MIFIR and MAR.
A clear, detailed, logical approach with excellent record keeping and the ability to work with little supervision is essential.
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.


PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and wellbeing of you and your family. Benefits vary by location but may include:
  • Medical, dental, and vision coverage
  • Life insurance and travel coverage
  • 401(k) (defined contribution) retirement savings, retirement plan, pension contribution from your first day of employment
  • Work/life programs such as flexible work arrangements, parental leave and support, employee assistance plan, commuter benefits, health club discounts, and educational/CFA certification reimbursement programs
  • Community involvement opportunities with The PIMCO Foundation in each PIMCO office

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