Trade Floor Compliance focus
The primary responsibility of this role is the execution and evolution of the Compliance program in the areas of Portfolio Management, Trading, Credit Research and Trade Processing.
Assist the business in meeting regulatory standards
The role involves regular engagement with trade floor personnel to follow up on potential issues identified through surveillance. This requires excellent communication skills and the ability to deal effectively in a busy and time sensitive environment.
In addition, the role will also involve the provision of compliance advice to trade floor personnel; the production of timely and relevant management information; and regular discussions with Portfolio Management senior leadership.
Evolve the EMEA Compliance program
The role is part of the EMEA Regulatory Compliance Management team which is charged with identifying key risk areas for Compliance and adapting the Compliance program and resource allocations accordingly.
This requires “horizon scanning” for regulatory changes, expectations voiced by regulators through various publications and industry best practices to assess the potential for enhancing the EMEA Compliance program.
Excel in a strong “player-coach” model in a flat, non-hierarchical business
The “player coach” model is prevalent at PIMCO with few, if any, “pure managers”. This demands that staff “get their hands dirty” and work well in a team based environment with a collegiate and collaborative approach to problem solving.
This includes execution of the trade floor surveillance program across multiple fixed income asset classes, including testing and surveillance of EMEA wide trade floor activity to ensure adherence to policies and regulatory requirements in collaboration with other team members globally.
Contribute to the success of a truly global team
The candidate will be expected to contribute to the wider regulatory compliance team as well as to get involved in or lead local, regional and global project work and working groups.