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.

Its Australian PIMCO’s business is divided into Institutional Sales team and Global Wealth Management (GWM) team. On the institutional side, PIMCO partners with a wide range of institutions, including central banks, universities, endowments and foundations, and public and private pension and retirement plans. On the GWM distribution side, PIMCO works with financial advisors as well as individual investors pursuing personal financial goals. PIMCO Australia is also the responsible entity and trustee for 11 Australian domiciled managed investment schemes, 5 of which are listed as ETFs with ASX and CBOE.

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.

RESPONSIBILITIES

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 first line 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

Develop and provide compliance training

Coordinate and execute global compliance projects

Support APAC and global offices in their initiatives

REQUIREMENTS

An undergraduate or degree in Law, Accounting, Business, Finance, Economics or other related field is required.

8-12 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

Listed ETFs and LITs

Trading and research

DESIRED COMPETENCIES

Possess technical regulatory knowledge and skills

Possess strong analytical skills

Possess strong communication skills

Develop teamwork and optimize the use of resources to achieve team or organizational objectives. Lead by persuasion and example

Be able to prioritize multiple tasks and demonstrate timely follow-up

Plan, track, manage, and report the implementation of projects: including associated resources, using established project management tools, techniques and/or software

Be effective in both formal and informal presentation settings: one-on-one, small and large groups, with peers,; is effective both inside and outside the organization; commands attention and can manage group process during the presentation; can change tactics midstream if required

Able to identify business risks: seeks relevant data, recognizes important information, and analyzes the impact and possible consequences

Understand the business and factors that impact the business

International and domestic compliance experience within the Institutional and Retail sector is desired

Applicants with Disabilities