Regulatory Operations Associate Regulatory Operations Associate …

in London, England, United Kingdom
Permanent, Full time
Be the first to apply
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Regulatory Operations Associate
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 recent years, the Global Regulatory Bodies have issued mandates for the regulatory reporting of transactions. These obligations refer to PIMCO reporting requirements, PIMCO's own funds, and reporting responsibilities delegated to us by our clients. The reporting differs for each regime and the Derivative and Regulatory Operations team plays an essential role in ensuring the day-to-day operational excellence of transaction reporting to regulators.

On a daily basis, the associate will utilize their judgment, decision-making skills and experience to manage the regulatory reporting trade flow, reporting locally to a Vice President in Operations. We are in the process of building a global team centered on best-in-industry regulatory reporting excellence, accuracy and efficiency, and this role will be a key contributor to the team's success.

Responsibilities include:
  • Daily validation of high volume and broad product range of transactional data to European regulators (FCA and BaFIN) as required by MiFID II
  • Troubleshoot and resolve daily reporting exceptions to meet tight regulatory deadlines
  • Oversee daily reconciliation tools and processes built for ensuring completeness, accuracy, and timeliness of reported data
  • Maintain and update key static reference data including client, counterparty, venue, and internal decision maker identifiers
  • Prepare internal metrics and summaries for management reporting
  • Conduct ad hoc analysis to research and identify anomalies and patterns within our reporting data
  • Contribute to the creation of new requirements within the global regulatory change book-of-work

Position Requirements:

  • 2+ plus years equivalent work experience in the investment management or securities industry preferably in Asset Management Operations
  • Familiarity of financial industry regulatory regimes (preferably MIFID II, or EMIR / SFTR)
  • Understanding of trade operations and front-to-back trade lifecycle
  • Proficiency in Microsoft Office products (Excel, Word, Outlook)
  • Able to work independently and as part of a global team
  • Intuitive and analytical thinker with excellent written and verbal communication skills, with the ability to influence stakeholders at all levels


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
  • 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