VP, Compliance Officer

1 month ago

Dublin, Ireland PIMCO Full time

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

Through our Dublin based Management Company, we manage a significant range of UCITS and liquid AIFs, which are distributed around the world. We are looking for an experienced Funds Compliance Officer to support the Designated Person for Regulatory Compliance for our Irish fund range.

Position Description

Funds compliance program focus:

The primary responsibility of this role is the execution of the Funds Compliance Programme

This includes conducting monitoring activities in accordance with the risk based compliance monitoring plan, documentation of results and creation of management information

Continuous enhancements of the program as appropriate is an additional expectation

Assist the firm in meeting regulatory expectations:

Review, and where necessary draft and implement relevant compliance policies and procedures including propose enhancements to oversight activities

The Funds Compliance Officer will advise on and monitor compliance with the laws and regulations governing the Funds and its Management Company

Provide regulatory advise if needed and prepare management information as well as Board reports

Delegate oversight and issue resolution:

Manage the Compliance aspects of the oversight program of the Funds' delegates (e.g. Fund Administrators and Investment Advisers)

Review and Advise on breaches, liaise with the Depository and advise on their solution

Support the Distributor Oversight programme

Excellent written and verbal communication skills are key to success:

The role requires ongoing communication and coordination with members of the Legal & Compliance team, other business areas as well as external parties (administrators, depository, etc), therefore excellent communication skills are crucial

Requirements

Experience in Funds Compliance programs and Delegate oversight is key to success:

At least 5 years of relevant experience (Compliance or risk functions, or audit/consulting experience in investment management with a focus on UCITS Management Companies

Experience with performing monitoring activities, audits or other forms of reviews requiring critical thinking and judgment

Strong Knowledge of regulatory standards and expectations:

The candidate will be expected to have a strong knowledge in a majority of the following subjects: UCITS and AIFMD

Fund Governance and CP86

Investor protection

Product governance

Conflicts of Interest and Delegate oversight

Experience with the preparation of senior management reports and Board Reports is desirable

Excellent organization and communication skills:

Self-starter with an ability to work effectively in a fast paced and evolving environment

Overall good communication, time management and delivery skills are required

Clear, concise communication skills and experience at presenting complex subject matter to business audiences is desirable

Highest professional standards and client service orientation essential for success in the role:

The candidate must be a team player with ability to foster good working relations and support the team’s professional standards and client service orientation

Flexibility in approaching complex subject matter and understanding the business needs in the context of regulatory requirements is crucial

PIMCO is an equal opportunity employer


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