Compliance Analyst, Rule Automation Compliance Analyst, Rule Automation …

in Newport Beach, CA, United States
Permanent, Full time
Be the first to apply
in Newport Beach, CA, United States
Permanent, Full time
Be the first to apply
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 $1.78 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:

This is a meaningful 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 clients, regulatory, and internal rules and ensuring that all of these guidelines are accurately 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.
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)
  • 3 - 5 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


PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and well-being 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