SVP, Senior Compliance Officer (Newport Beach) en PIMCO

Description

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

Join PIMCO’s Compliance team as a strategic leader to provide oversight across critical elements of the firm’s compliance program. As a Senior Vice President, you will drive innovation, strengthen regulatory frameworks, and partner closely with senior firm leadership. This role offers the opportunity to influence firm-wide strategy, mentor top talent, and engage directly with clients to communicate PIMCO’s compliance vision.

Responsibilities

• Lead and Innovate: Drive the evolution of compliance policies and controls, anticipating regulatory trends and aligning with business priorities.

• Global Collaboration: Partner with Compliance teams across regions to ensure consistency and deliver program enhancements.

• Risk Leadership: Proactively identify, assess, and resolve conflicts of interest and other compliance risks.

• Executive Reporting: Deliver comprehensive updates on compliance program status to senior Legal and Compliance leadership.

• Strategic Initiatives: Manage and execute projects that strengthen PIMCO’s compliance framework and operational resilience.

• Team Development: Inspire and mentor a high-performing team, fostering a culture of excellence and accountability.

Requirements

• Education: Bachelor’s degree required (Accounting, Business, Finance, or Economics preferred). Advanced credentials (JD, CFA, or equivalent) highly valued.

• Experience:

  • Minimum 10 years in compliance within a large, diverse investment management firm.

  • Expertise implementing compliance programs under Rule 206(4)-7 of the Investment Advisers Act.

  • At least 5 years of leadership experience with direct supervisory responsibility.

• Compliance Expertise: Proven experience across key compliance areas, including code of ethics, personal trade surveillance, electronic communications monitoring (e-comms), political contributions, and proxy voting.

• Technical Knowledge: Strong understanding of global equity and fixed income markets, including bonds, equities, and derivatives.

• Skills & Attributes:

  • Exceptional communication and interpersonal skills.

  • Strategic thinker with high integrity and ethical standards.

  • Ability to manage multiple priorities with precision and adaptability.

  • Passion for innovation and continuous improvement.

PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.
Salary Range: $ 215,000.00 - $ 260,000.00

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.

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