Compliance consultant - united states, mascara

compliance consultant
newport beach, ca (onsite required)
6+ month contract

education required: bachelors degree
experience required: 2-5+ years

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 investment advisory and distribution activities, pimco seeks a dynamic individual to serve as a compliance consultant within the global compliance team of pimco's legal and compliance department. the compliance consultant will support the investment adviser compliance program. this position will be based in our corporate headquarters in newport beach, ca.
the compliance consultant will be responsible for supporting the investment adviser compliance program in the following areas, among others: surveillance and testing, assisting with the drafting of policies and procedures as well as other compliance-related documents, reporting, and handling investment-related issues.
this position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast-paced, and professional environment with frequent shifts in priorities as business needs dictate.

key responsibilities include, but are not limited to:

support the development and implementation of the investment adviser compliance program, working closely with members of the compliance department globally to drive enhancement and ensure consistency globally;perform surveillance and testing associated with the firm's compliance policies and procedures;continually build an understanding of pimco and, in particular, the alternatives/private funds business and its operations, including operation of the information barrier;work with various teams and departments including legal, portfolio management, client facing, and product strategies to identify and address regulatory matters;must take initiative in learning and applying new skills and regulations;proactively respond to business and regulatory changes;have a strong sense of integrity, behaving consistently with expressed values and ethical principles of pimco

professional skills requirements

excellent problem-solving skillsexcellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externallyintelligent, bright, critical thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideasservice-oriented; the ability to balance regulatory and policy standards along with a business perspectivea highly motivated self-starter with the willingness to "roll up your sleeves"and the ability to drive changeexceptional organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlineshighly flexible, multi-task oriented: capable of rapidly changing directions based on business demandsconsensus builder and team player with the ability to work well within a matrixed organizationdemonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organizationworking knowledge of ms office suite including word and excel, comfortable with learning new software

role requirements

minimum 2 years of regulatory compliance experience with a large and diverse investment management firm serving in a compliance function or within the investment management/regulatory practice at a top-tier law firman undergraduate degree is requiredgeneral knowledge of regulatory requirements applicable to us investment managers and broker-dealers, including the investment advisers act and finra rulesstrong background in fixed income, alternatives, derivatives, commodities and 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)compliance consultant

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