Senior Compliance Officer

Profile

Senior Compliance Officer
The candidate will be responsible for overseeing the firm’s Control Group which implements the firm’s Policy and related procedures, including monitoring information barriers, maintaining restricted lists and handling market pre-soundings and wall crossings, among other areas. Will also involve managing a team of compliance professionals and assisting with the drafting of policies and procedures as well as other compliance-related documents, communications, and reporting; implementing process enhancements; and conducting training and education. Key responsibilities include: Will serve as central point of oversight and contact for PIMCO’s Control Group, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally; Manage a team of compliance professionals who are responsible for the various Control Group activities noted above; Draft policies, procedures, memos and internal and external communications; Identify processes for enhancement, such as those requiring institutionalization or automation; Work with various teams and departments including Legal, Portfolio Management, Client Facing, and Product Strategies to identify and address regulatory matters

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