Vp, Regulatory Compliance
vor 2 Monaten
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
Key Responsibilities- Compliance Program Development: Develop, promote, and implement Compliance policies, standards, and procedures to ensure PEG and EMEA staff operate in compliance with regulatory obligations- Maintain a best-in-class Compliance Monitoring Program covering WpHG, WpIG, GwG, BaFin ordinances, and ESMA publications (including SFDR and other sustainability-related publications), providing advice, training, regulatory filings, and monitoring activities. Coordinate internal and external audits to ensure compliance standards are met- Communication and Reporting: Exhibit exceptional communication skills and effectively manage a busy, time-sensitive environment. Report to PEG's Compliance Officer in Munich, with a pathway to becoming PEG's Deputy Compliance Officer- Business Understanding: Enhance program execution by understanding PEG's business operations, particularly in Institutional and Intermediary Client Relationship Management, Marketing, Business Development, and Portfolio Management- Regulatory Evolution: Evolve the EMEA Compliance program through ongoing analysis of the regulatory environment, including horizon scanning for changes and integrating industry best practices- Global Team Contribution: Contribute to the global regulatory compliance team focused on EU, German, and UK regulatory frameworks, while participating in local, regional, and global project work and working groups
Requirements- Experience: Minimum 4 to 6 years in compliance, legal, or audit roles within a global financial services organization, focusing on strategic advice for financial services- Asset Management Knowledge: Experience as a Compliance Officer in a Financial Services Firm or KVG, with a focus on investment funds, fixed income, and equity products- Financial Product Familiarity: Knowledge of various financial products, including derivatives, structured products, and alternative investments, is a plus- Regulatory Knowledge: Strong understanding of UK and EU regulations relevant to PIMCO Europe GmbH (PEG) and its branches, with the ability to navigate complex regulatory environments- Compliance Expertise: Proven experience in executing and enhancing risk-based, audit-ready Compliance monitoring programs- Communication Skills: Exceptional ability to present complex regulatory concepts clearly to diverse audiences- Client-Centric Approach: Commitment to high professional standards and client service, fostering collaborative relationshipsEqual Employment Opportunity and Affirmative Action Statement
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