Compliance Analyst, Rule Automation

  • Competitive
  • Newport Beach, CA, USA
  • Permanent, Full time
  • PIMCO Europe Ltd
  • 18 Apr 19

Compliance Analyst, Rule Automation

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 $1.66 trillion in assets for clients around the world. PIMCO has over 2,500 employees in 14 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:

This is a challenging and exciting opportunity to work within the Legal & Compliance department, supporting PIMCO's proprietary compliance system. The Rule Automation Team is responsible for automating the various client, regulatory, and internal rules and ensuring that all of these guidelines are correctly coded within the compliance system. The Compliance Analyst will have broad exposure to the entire investment guideline compliance process. Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including Technology, Investment Compliance, Regulatory Compliance, and the Trade Floor to foster career growth.

Position Requirements:

RESPONSIBILITIES
Key responsibilities include, but are not limited to:

  • Create, automate and maintain compliance rules based on investment guidelines and regulations
  • Ensure that the guideline interpretations of accounts' restrictions are accurately reflected in the compliance system
  • Participate in numerous analytical/technical ad hoc projects aimed at automating account guideline compliance
  • Research and address various inquiries regarding the status or functionality of compliance rules
  • Test and implement new functionality within the compliance system

POSITION REQUIREMENTS
  • Minimum of a Bachelor's Degree (Accounting, Business, Finance or Economics preferred)
  • 1 - 3 years of professional experience in compliance or the investment management industry
  • Basic knowledge of financial products such as fixed income instruments, equities, derivatives, bonds, securities, etc.
  • Intermediate/advanced working knowledge of MS Excel

PREFERRED QUALIFICATIONS
  • Experience with coding in a compliance system is ideal
  • Exposure to querying, particularly with SQL and Business Objects
  • Experience with Bloomberg
PROFESSIONAL SKILLS REQUIREMENTS
  • Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization
  • Honesty and integrity
  • Quick learner and adaptable to learn new processes, concepts, and skills
  • High emotional intelligence, flexible, and resilient
  • Highly motivated self-starter with the ability to work collaboratively and independently
  • Demonstrated competence in thinking strategically, analytically, conceptually, and innovatively, including the ability to synthesize and analyze data
  • Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
  • Demonstrated ability to navigate unstructured processes and simultaneously manage responsibilities of multiple-concurrent work streams and competing demands


Benefits:

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
  • 401(k) (defined contribution) retirement savings, retirement plan, 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