SVP, Senior Compliance Officer (Newport Beach)

Company: Pimco
Location: Newport Beach
Posted on: May 31, 2025

Job Description:

SVP, Senior Compliance Officer (Newport Beach)Apply locationsNewport Beach, CA USAtime type: Full timeposted on: Posted 12 Days Agojob requisition id: R103339PIMCO 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.OverviewAs a key member within PIMCO's Compliance team, the Senior Compliance Officer will provide strategic oversight and leadership across critical elements of the firm's compliance program. This role includes managing a team of compliance officers at various levels and collaborating closely with senior firm leadership. The successful candidate will bring deep investment management expertise and engage directly with clients to communicate PIMCO's compliance initiatives and program.Responsibilities

• Lead the implementation, enforcement, and ongoing evaluation of compliance policies and controls, ensuring alignment with business needs and regulatory changes
• Collaborate with global Compliance teams to drive program enhancements and maintain consistency across regions
• Identify, assess, and resolve conflicts of interest and other compliance risks proactively
• Provide regular, comprehensive reporting on compliance program status to senior Legal and Compliance executives and other stakeholders
• Manage and execute compliance projects and strategic initiatives to strengthen the firm's compliance framework
• Supervise and develop a high-performing teamRequirements
  • Bachelor's degree required; preferred fields include Accounting, Business, Finance, or Economics. Juris Doctor (JD) degree is a plus but not required
  • Minimum 10 years of compliance experience in a large, diverse investment management firm, including experience implementing compliance programs under Rule 206(4)-7 of the Investment Advisers Act
  • At least 5 years of management experience with direct supervisory responsibility
  • Intermediate knowledge of global equity and fixed income markets, including bonds, equities, and derivatives
  • Strong understanding of investment adviser compliance policies and regulatory focus areas
  • Excellent communication and interpersonal skills
  • High integrity and ethical standards
  • Ability to manage multiple priorities and projects with strong attention to detail
  • Adaptable and quick learner, able to embrace new processes and regulatory developmentsPIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.Salary Range: $215,000.00 - $260,000.00Equal Employment Opportunity and Affirmative Action StatementPIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws.Applicants with DisabilitiesPIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.Similar Jobs (1)SVP, Senior Compliance Officer - Alternativeslocations 2 Locationstime type: Full timeposted on: Posted TodayWe believe that active management is the responsible way to invest our clients' assets in fixed income.For 50 years, we have worked relentlessly to help millions of investors pursue their objectives - regardless of shifting market conditions.Our clients rely on an investment process that has been tested in virtually every market environment.Bringing together our investment professionals from across the globe, PIMCO'sinvestment process is designed to promote fresh ideas and differing points of view.We innovate to give our clients an edge.Innovation has long been part of the fabric of PIMCO's culture. Explore how we assess shifting risks and opportunities to build forward-looking solutions for investors.
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