Regulatory Analyst/Associate Regulatory Analyst/Associate …

in Newport Beach, CA, United States
Permanent, Full time
Last application, 21 Feb 20
in Newport Beach, CA, United States
Permanent, Full time
Last application, 21 Feb 20
Regulatory Analyst/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 $1.91 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:

We are seeking a Regulatory Analyst/Associate to provide legal support for our Legal US Regulatory team within the Legal and Compliance Department in our Newport Beach, CA office.

Key responsibilities include, but are not limited to:
  • Coordinating firmwide U.S. regulatory filings, including monitoring reporting thresholds and maintaining records of all filings
  • Assisting 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 third-party subpoenas
  • Coordinating responses to various information requests, including regulatory and client requests
  • Preparing reports, matrices, procedural documentation, and other deliverables for internal and external use
  • Assisting 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
  • Proficiency in Microsoft Suite; must be able to perform intermediate Excel functions (e.g. formulas, vlookups, etc.)
  • Demonstrated ability to interpret laws and regulations

  • Regulatory filing experience preferred (e.g., CFTC, SEC, NFA, DOL, FINRA, etc.)
  • Paralegal Certificate preferred

  • Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization as well as external stakeholders
  • 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 generate solutions and appropriately escalate to management
  • Ability to maintain a high level of confidentiality and integrity
  • Meticulous attention to detail
  • Quick learner and adaptable to learn new processes, concepts, and skills; ability to take initiative in learning and applying new skills
  • 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 projects and competing demands
  • 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