Regulatory Compliance Associate - London, United Kingdom - PIMCO

PIMCO

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

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.

Overview

This role involves supporting PIMCO's Control Group in managing and overseeing information barriers.

The Control Group is responsible for implementing the firm's MNPI Policy, monitoring information barriers, maintaining trading restricted lists, and handling market soundings and wall crossings, among other functions.

The position requires a compliance professional with strong diplomatic and analytical skills, who can thrive in a fast-paced environment with frequent shifts in priorities.

Responsibilities:

Handle Market Soundings from external parties
Manage trading restrictions and related activities
Identify, escalate and support senior management with issue resolution
Approve requests for expert network calls and access to virtual data rooms
Assist in enhancing, drafting, and maintaining policies, procedures, and other compliancerelated governance documents
Implement process enhancements
Conduct live training and provide support for all MNPIrelated online training and education modules
Assist with planned and inadvertent receipt of material nonpublic information ("MNPI")
Work effectively with various teams and departments across the firm to identify and address compliance matters
Develop and deliver compliance training and education in areas such as information barriers, MNPI and other related topics

Requirements:

Proven Regulatory Compliance experience at large and diverse investment management firm or investment bank
Understanding of securities laws applicable to insider trading and market abuse and knowledge of regulatory requirements applicable to US investment managers, including the Market Abuse Regulation
Background in fixed income, alternatives, derivatives, commodities or equity strategies offered in a variety of investment products (i.e., openend mutual funds, closedend funds, ETFs, separate accounts and private funds)
Strong written and verbal communication skills
Ability to multitask and remain flexible in a rapidly changing environment with shifting business demands
Strong sense of personal integrity consistent with the expressed values and ethical principles of PIMCO

Equal Employment Opportunity and Affirmative Action Statement

Applicants with Disabilities