Paralegal- Regulatory Paralegal- Regulatory …

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
Paralegal- Regulatory
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 $2.22 trillion in assets for clients around the world. PIMCO has over 3,000 employees in 20 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:

Individual will be responsible for providing legal support for Legal US Regulatory within the Legal and Compliance Department, including, but not limited to:

  • Collect, analyze, and maintain certain contract documentation required to perform anti-money laundering ("AML") and sanctions related due diligence and in accordance with recordkeeping requirements
  • Preparation of AML, Customer Due Diligence, and related forms for account onboarding
  • Complete FinScan initial and ongoing screening, analyzing alerts and escalating potential hits to the Global Anti-Financial Crime Compliance team for resolution
  • Liaise with clients, Account Management, and other Legal & Compliance teams to perform first-line AML review and sign-off
  • Assist with annual AML audit requirements
  • Coordinate various firm-wide U.S. regulatory filings, including monitoring reporting thresholds and maintaining records of all filings
  • Draft and coordinate responses to various information requests, including regulatory and client requests
  • Assist both in-house and external counsel with ad-hoc document productions, including but not limited to, regulatory exams and/or requests for information and responses to 3rd party subpoenas
  • Prepare reports, matrices, procedural documentation, and other deliverables for internal and external use
  • Assist with regulatory and compliance related research and miscellaneous special projects as they are assigned

Position Requirements:


•Bachelor's Degree required
•Minimum 3 years of law firm or in-house paralegal/regulatory specialist experience or comparable experience in an AML role
•Previous AML experience highly desirable
•Regulatory filing experience preferred
•Proficiency in Microsoft Suite; must be able to perform intermediate Excel functions (e.g. formulas, vlookups, etc.)
•Strong analytical and organizational skills and the ability to manage multiple time sensitive tasks in a challenging, fast paced, deadline driven, and fluid environment
•Ability to maintain a high level of confidentiality and integrity
•Ability to interpret laws and regulations
•Must be able to work independently on complex tasks
•Meticulous attention to detail
•Able to take initiative in learning and applying new skills
•Exceptional verbal and written communication skills
•Must possess excellent interpersonal skills, work well in a team environment, and have the ability to interact comfortably with all levels of management, as well as external contacts
•Ability to generate solutions and appropriately escalate to management
•Must be able to work independently on complex tasks
•Clear commitment to PIMCO's culture, values, and approach


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

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