Senior Compliance Officer

at  PIMCO

Senior Compliance Officer
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.
Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.

JOB DESCRIPTION

PIMCO is seeking a Senior Compliance Officer to be based in Sydney, Australia. This position will report to the Head of Compliance, APAC based in Sydney and will be responsible for the Compliance function of PIMCO’s Australian office, including for facilitating the implementation and monitoring of PIMCO’s Compliance program.
This role will entail building strong internal relationships within Australia and also regionally in APAC as well as globally. These relationships include within the Legal and Compliance Team as well as with Operations and the Business (Account Managers and Portfolio Managers). The role will also frequently interact with members of senior management to provide perspective, insights and feedback on Compliance issues.
The role will also be involved in coordination with regulators, external and internal auditors, and clients.

REQUIREMENTS

• An undergraduate or degree in Law, Accounting, Business, Finance, Economics or other related field is required.
• Minimum of 8-10 years relevant experience in risk, regulatory and compliance roles, either in a major law firm, or consultancy/accounting firm or a large and diverse global investment bank or investment management firm
• Strong knowledge of Australian financial services regulatory environment and compliance considerations
• A team player who can interact professionally, diplomatically and effectively with key internal and external stakeholders

PREFERRED EXPERIENCE IN

• Implementation and maintenance of compliance programs
• Fixed income or equities
• Responsible entity obligations
• Institution and retail sales
• Trading and research

This position requires a diplomatic and analytical professional who can:

• Be the main point of contact on all compliance related matters
• Ensure continuing compliance with applicable regulatory requirements and market best practice, including anti-money laundering and sanctions compliance, marketing and distribution compliance
• Ensure incidents and breaches are appropriately assessment, remediated and reported
• Maintain relationship with relevant regulators and external compliance committee
• Manage regulatory and licensing matters, including licence application, variation, cessations and related licensing reporting requirements
• Oversee the Portfolio Management team, Institutional Sales team, GWM team as well as Operations team to ensure compliance with applicable law, regulation and policies
• Build strong relationships with relevant stakeholders and provide active advice on all compliance related matters
• Support internal and external audit and regulatory reviews
• Support a range of projects (regulatory change or business initiatives) from a regulatory perspective
• Draft, review and maintain on an ongoing basis compliance manual, program and policies based on regulatory developments
• Provide guidance to the junior team members for the assigned responsibilities and projects if applicable
• Develop and provide compliance training
• Coordinate and execute global compliance projects
• Support APAC (Hong Kong, Singapore and Tokyo) and global offices (US and London) in their initiatives