Compliance Surveillance Associate

4 days left

London, United Kingdom
04 Mar 2023
03 Apr 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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.

Role will involve:
  • Review of automated voice and electronic communications alerts (escalating, as required)
  • Review of automated cross-product trade surveillance alerts (escalating, as required)
  • Review of policies and procedures designed to govern the review, closure and escalation of alerts (approach needs to be consistent globally)
  • Produce relevant management information working with global teams to develop a streamlined and consistent approach to produce statistics (e.g. aged alerts, total alerts closed, escalated items, trend analysis)
  • Assist with the enhancement of existing Market Abuse risk assessments, including the development of a relevant prioritized book of work for the surveillance function
  • Perform gap analysis following the release of new regulatory notices, particularly as the UK MAR regime continues to evolve
Experience level:
  • Preferred experience with surveillance tools (e.g. SMARTS, TradingHub, Proofpoint, Autonomy etc.)
  • Good organizational skills to keep on top of a regular flow of alerts which can require case management, archiving and appropriate escalation
  • Ideally an Associate or AVP equivalent with relevant Compliance experience (surveillance background preferred)
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.