Regulatory Compliance Officer - Client Facing Branch Oversight (London)

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.

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 Overview

PIMCO is seeking a highly skilled and motivated Compliance Expert to join its EMEA Regulatory Compliance team in London. This role will focus on Client Facing Activities, Marketing, and Environmental, Social, and Governance (ESG) compliance within the EMEA regulatory frameworks including oversight on client facing activities and applicable regulatory framework for PIMCO's branches and licenses in EMEA.

The successful candidate will be responsible for maintaining a best-in-class compliance program, providing pragmatic regulatory advice, and ensuring compliance across PIMCO's legal entities and branches in key locations, including London, Munich, Milan, Madrid, and Zurich. The role requires a proactive approach to managing compliance initiatives related to new products, ESG requirements, marketing strategies, and regulatory changes.

Key Responsibilities

• Compliance Program Management: Maintain and enhance PIMCO's EMEA Compliance program for Client Facing, Marketing, and ESG activities, ensuring it meets industry standards and regulatory requirements
• Branch and License Oversight: Maintain and enhance PIMCO's EMEA Branch and license oversight program, ensuring compliance of PIMCO's branches and licenses with applicable regulatory frameworks
• Regulatory Advisory: Provide practical compliance advice on policies and procedures to support business operations, ensuring alignment with applicable regulations
• Monitoring and Testing: Conduct compliance monitoring and testing to ensure adherence to regulatory frameworks, identifying areas for improvement and implementing necessary changes
• Regulatory Horizon Scanning: Perform ongoing analysis of the regulatory environment, including "horizon scanning" for changes and expectations from regulators, to enhance the compliance program
• Collaboration and Project Involvement: Actively contribute to the global regulatory compliance team, focusing on Client Facing, Marketing, ESG, and Branch and License Oversight, while participating in local, regional, and global projects and working groups
• Training and Development: Facilitate training sessions and workshops to educate staff on compliance policies, procedures, and best practices

Requirements

• Experience: Proven experience in managing compliance monitoring programs, with a strong emphasis on risk-based and audit-ready frameworks
• Regulatory Knowledge: In-depth understanding of UK and EU regulatory requirements relevant to PIMCO EMEA, with the ability to interpret and apply these regulations effectively. Regulatory knowledge for Middle East and Africa would be a plus
• Communication Skills: Excellent organizational and communication skills, with the ability to present complex information clearly and concisely to diverse audiences
• Attention to Detail: Diligent record-keeping and a meticulous, detail-oriented approach to compliance functions, ensuring accuracy and thoroughness in all activities
• Team Orientation: A collaborative team player with a strong client service orientation, capable of fostering positive working relationships across various departments
• Adaptability: Flexibility in addressing complex regulatory matters while maintaining a clear understanding of business needs and objectives
• Professional Standards: Commitment to the highest professional standards and a client service orientation, ensuring that compliance practices support the overall business strategy

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.