Portfolio Compliance Associate

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

Portfolio Compliance 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 $1.66 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:

ABOUT THE ROLE
Portfolio Compliance oversees guideline compliance for over 2,900 public funds and separate accounts on a post-trade basis, which includes independent compliance verification. We perform holdings-level analysis to detect any guideline breaches in client and fund portfolios and monitor all outstanding compliance issues from time of breach through resolution. In performing our array of compliance functions, Portfolio Compliance works closely with departments across the firm, including Account Management, Portfolio Management, Product Management, and Business Management. At its core, Portfolio Compliance monitors guideline compliance in order to manage and mitigate risk to both our clients and the firm.

The Portfolio Compliance Analyst position is a challenging and multifaceted role where responsibilities include analyzing account transactions and portfolio holdings in order to conduct full compliance verification for all public funds and separate accounts. Position requires research of potential compliance issues, client reporting, and working with Account and Portfolio Management in an effort to resolve outstanding violations. The role also includes participation in various ad hoc projects, such as process developments and improvements, scenario analysis, and technology testing. The position affords the opportunity to work in a fast-paced, dynamic, and challenging workplace with highly motivated and intelligent professionals.


Position Requirements:

POSITION REQUIREMENTS

  • An undergraduate degree in Finance, Economics, or Accounting is required for this role
  • Minimum 2-3 years of general fixed income/compliance experience
  • Strong knowledge of MS Excel required (formulas and functions)
  • Experience using MS Access, Business Objects, MS Excel VBA, SQL, and Bloomberg a plus
  • If not already completed during the initial interview process, must score a 90% or better on the Compliance Assessment and MS Excel test
PREFERRED QUALIFICATIONS
  • Knowledge of the Investment Company Act of 1940 a plus
  • CFA designation or active status in the CFA program is a plus
PROFESSIONAL SKILLS REQUIREMENTS
  • Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization
  • Quick learner and adaptable to learn new processes, concepts, and skills
  • Maintaining a strong commitment to quality and attention to detail; ensuring that the work product is delivered completed, accurately and on time
  • 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, flourish/work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
  • Have a strong sense of honesty and integrity
  • Maintain a professional demeanor in both routine and highly charged environments; adapt responses appropriately to each situation
  • Desire to contribute to and grow with the organization through a variety of developmental assignments.
  • Display a sense of teamwork and foster a learning environment
  • 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