Alternatives Transaction Compliance Officer - Private Equity/Credit Transactions

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Pimco
  • 21 Nov 17 2017-11-21

Alternatives Transaction Compliance Officer - Private Equity/Credit Transactions

Position Description


This position will be within the Alternatives Compliance Team, which is part of the larger Regulatory Compliance team within the Legal and Compliance Department at PIMCO's headquarters in Newport Beach, CA.

This individual is responsible for the development and implementation of policies and procedures pertaining to private investments throughout all phases of the investment lifecycle (e.g., pre-acquisition, asset management and disposition). Relevant policies and procedures include but are not limited to anti-bribery, anti-corruption (ABAC), anti-money laundering (AML) and procedures relating to control investments. The role will involve a high degree of interaction with the Alts Legal Team and investment professionals.

This individual will be expected to gain a deep understanding of PIMCO's Alternatives business (Alts) and products globally, as a primary aspect of this role will involve partnering with the various Alternatives teams, including Alts Legal, Product Strategies and Alts Finance. As a member of the larger Regulatory Compliance team, the Alternatives Compliance Officer is responsible for maintaining connectivity with the Global Anti-Financial Crimes team (which also resides within the Regulatory Compliance team) to ensure that PIMCO's anti-financial crimes compliance program with respect to Alternatives products is implemented consistently across the firm.

This position requires an analytical, detailed professional who can:

  • Oversee the implementation of the Alts ABAC and AML compliance program for Alts globally
  • Collaborate with Alts Compliance team in London (covering the EMEA region) to ensure consistency across Alts globally and provide support
  • Partner with Alts Legal globally to conduct appropriate diligence on joint venture partners and portfolio companies in an effort to ensure they have appropriate anti-corruption programs and provide sufficient legal reps and warranties in transaction documents
  • Participate in the deal approval process when regulatory compliance approval is required, in accordance with internal procedures
  • Collaborate with the Alts Global Anti-Financial Crimes team to ensure alignment of Alts policies with firm-wide policies
  • Continually build an understanding of PIMCO and, in particular, the Alternatives business and its operations, including operation of the information barrier
  • Work with various departments including Regulatory Compliance, Alts Legal, Alts Finance and Product Strategies to identify and address regulatory risks that arise throughout the investment lifecycle

Position Requirements


  • An undergraduate degree with a preferred major in Business/Finance, Economics, or Accounting.
  • 7+ years of legal or compliance experience in the area of anti-financial crimes compliance
  • Strong background in private funds, including private equity, private credit and structured products
  • Strong knowledge of regulatory requirements applicable to US and UK-based investment managers, including for example, the Investment Advisers Act, Bank Secrecy Act, USA PATRIOT Act, UK Money Laundering Regulation 2007 and EU Money Laundering Directive 2017
  • Experience interacting with senior management including investment professionals
  • Service oriented: ability to balance regulatory and policy standards along with a business perspective
  • Demonstrated ability to execute projects/initiatives in a focused and highly tactical manner
  • Must take initiative in learning and applying new skills and regulations.
  • You will embody the key competencies and leadership skills necessary to be successful at PIMCO (i.e. Learning Agility, Results Orientation, Intellectual Rigor, Emotional Intelligence, etc. etc.)

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.