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Senior Compliance Officer

2 months ago

Sydney, New South Wales, Australia PIMCO Full time
{"title": "Senior Compliance Officer", "description": "Job Summary

PIMCO is a global leader in active fixed income with a strong presence in the financial markets. We are seeking a Senior Compliance Officer to join our team in Sydney, Australia.

The successful candidate will be responsible for ensuring the compliance of our Australian office with applicable regulatory requirements and market best practices. This will involve building strong relationships with internal stakeholders, including the Legal and Compliance Team, Operations, and the Business.

The role will also require frequent interaction with members of senior management to provide perspective, insights, and feedback on compliance issues. Additionally, the candidate will be involved in coordination with regulators, external and internal auditors, and clients.

Key Responsibilities
  • Ensure continuing compliance with applicable regulatory requirements and market best practices.
  • Be the main point of contact on all compliance-related matters.
  • Maintain relationships with relevant regulators and external compliance committees.
  • Oversee the Portfolio Management team, Institutional Sales team, GWM team, and Operations team to ensure compliance with applicable law, regulation, and policies.
  • Build strong relationships with relevant stakeholders and provide active advice on all compliance-related matters.
Requirements
  • An undergraduate or degree in Law, Accounting, Business, Finance, Economics, or other related field.
  • Minimum of 8-10 years of relevant experience in risk, regulatory, and compliance roles.
  • Strong knowledge of Australian financial services regulatory environment and compliance considerations.
  • A team player who can interact professionally, diplomatically, and effectively with key internal and external stakeholders.
Preferred Experience
  • Implementation and maintenance of compliance programs.
  • Fixed income or equities.
  • Responsible entity obligations.
  • Institution and retail sales.
  • Trading and research.
Desired Competencies
  • Possess technical regulatory knowledge and skills.
  • Possess strong analytical skills.
  • Possess strong communication skills.
  • Develop teamwork and optimize the use of resources to achieve team or organizational objectives.
  • Lead by persuasion and example.
  • Be able to prioritize multiple tasks and demonstrate timely follow-up.
  • Plan, track, manage, and report the implementation of projects.
  • Be effective in both formal and informal presentation settings.
  • Able to identify business risks.
  • Understand the business and factors that impact the business.
About PIMCO

PIMCO is an equal opportunity 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 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online.

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