Marketing Compliance Associate Marketing Compliance Associate …

in Austin, TX, United States
Permanent, Full time
Be the first to apply
in Austin, TX, United States
Permanent, Full time
Be the first to apply
Marketing 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 $1.88 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:

PIMCO is a preeminent leader across fixed income strategies, including registered 40 Act funds, and is expanding its capabilities across a broad range of opportunistic and alternative strategies in the private fund space. Given the growth of its private fund distribution activities, PIMCO seeks a dynamic individual to serve as the primary point of contact for marketing material reviews for its Alternatives/private funds business and to help implement and enhance the compliance program applicable to Alternatives/private funds distribution and client servicing activities globally. The individual will sit within the investment adviser compliance team.

This position requires a professional with strong writing and analytical skills and diplomacy who can flourish in a challenging, fast-paced, and professional environment with frequent shifts in priorities as business needs dictate.

This individual will be expected to gain a deep understanding of PIMCO's Alternatives/private funds business and products globally and build successful professional relationships with members of Legal & Compliance, marketing communications, product management, account management and operations.

Key responsibilities include, but are not limited to:
  • Partner with various business groups and personnel at various levels of seniority to review and approve advertisements, sales literature, press releases, requests for proposal, due diligence questionnaires, pitchbooks, newsletters, investor meeting materials, other one-off investor requests (e.g., pro forma analyses); and special projects as needed.
  • Collaborate with the compliance marketing review team and other relevant compliance personnel globally to ensure that marketing review standards are applied consistently across the firm, where practical.
  • Assist with certain aspects of the firm's surveillance and testing program, as it relates to marketing and servicing.
  • Continually build an understanding of PIMCO and, in particular, the Alternatives/private funds business and its operations, including operation of the information barrier.
  • Assist with drafting and implementing policies and procedures, which will involve, for example, enhancing processes to facilitate submission and review of marketing and client servicing materials and developing training materials.
  • Proactively respond to business and regulatory changes.
  • Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO.

Position Requirements:

  • An undergraduate degree with a preferred major in Business/Finance, or Economics
  • Excellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally
  • Strong writing skills
  • Ability to follow directions and execute on performance feedback
  • A highly motivated self-starter with the willingness to "roll up your sleeves", developing a track record of high quality performance and growing within a fast paced, intellectually challenging environment
  • Service-oriented with an ability to balance regulatory and policy standards along with a business perspective
  • Intelligent, bright, conceptual thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas
  • Exceptional organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines
  • Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands
  • Consensus builder and team player with the ability to work well within a matrixed organization
  • Demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization

  • Minimum 2 years of regulatory compliance experience with a large and diverse investment management firm or within the investment management/regulatory practice at a top-tier law firm, focused on both registered 40 Act products and private funds
  • FINRA Series 7, 24 and 63, highly desirable or the ability to obtain within 3 months of employment
  • An undergraduate degree is required, graduate degree or Juris Doctorate preferred
  • General knowledge of regulatory requirements applicable to US investment managers and broker-dealers, including the Investment Advisers Act, FINRA Rules
  • Background in fixed income, alternatives, derivatives, commodities and/or equity strategies offered in a variety of investment products including (i.e., open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds)
  • Service oriented: ability to balance regulatory and policy standards along with a business perspective
  • Ability to execute assignments 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.)


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