Regulatory Compliance Officer - Trade Floor (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.

Overview

The main 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. This includes Advisory of Trade Floor personnel on PIMCOs policies and procedures as well as the applicable regulatory framework.

Responsibilities

• Regulatory Standards: Advise the business in navigating and meeting regulatory standards
• Trade Floor Engagement: Regularly engage with trade floor personnel to address potential issues identified through surveillance and respond to inquiries. This requires excellent communication skills, judgement and the ability to operate effectively in a busy, time-sensitive environment
• EMEA Compliance Program: Contribute to the evolution of the EMEA Compliance program within a dynamic and evolving trade floor environment
• Team Collaboration: Excel in a flat, non-hierarchical business model, fostering a team-based, collaborative approach to problem-solving
• Trade Floor Surveillance: Execute the trade floor surveillance program across multiple fixed income asset classes and focus areas, including Market Abuse surveillance and Conflicts of Interest, ensuring adherence to policies and regulatory requirements in collaboration with global team members
• Global Team Contribution: Contribute to the success of the global Trade Surveillance team and the wider EMEA Regulatory Compliance team

Requirements

• Compliance Experience: Proven experience with an active trade floor is essential
• Regulatory Compliance: Experience in executing risk-based, audit-ready Compliance monitoring activities with a focus on Front Office controls
• Trade Floor Background: Previous compliance experience on an active trade floor, either buy-side or sell-side
• Financial Instruments Knowledge: Working knowledge across a broad range of Fixed Income and FX instruments, including derivatives
• Regulatory Knowledge: Familiarity with UK and EU regulations, including MIFIDII, MIFIR, and MAR
• Organizational Skills: Excellent organization and communication skills
• Attention to Detail: Diligence, excellent record-keeping, and the ability to work with minimal supervision
• Professional Standards: Highest professional standards and a strong client service orientation
• Team Player: Ability to foster good working relations and support the team's professional standards and client service orientation

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.