Discover your dream Career
For Recruiters

Investment Guideline Compliance Senior Associate

PIMCO Tokyo, Japan
Posted 2 months ago Permanent Competitive
PIMCO is a global leader in active fixed income. With our launch in 1971 in Newport Beach, California, PIMCO introduced investors to a total return approach to fixed income investing. In the 50+ years since, we have worked relentlessly to help millions of investors pursue their objectives - regardless of shifting marketing conditions. As active investors, our goal is not just to find opportunities, but to create them. To this end, we remain firmly committed to the pursuit of our mission: delivering superior investment returns, solutions, and service to our clients.

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.

Position Description:

This is an exciting opportunity to work in a fast-paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. This position serves as a member of the APAC Investment Guidelines Compliance team based in Singapore. Investment Guideline Compliance group is responsible for implementing controls & processes to ensure we are aligned with all applicable regulatory and portfolio issued guidelines, including pre and post-trade compliance, reviewing trades to ensure compliance with investment guidelines, performing regular reviews of portfolios to ensure compliance with client guidelines, internal policies and applicable regulations. The role also requires to work on Global IGC, firm wide and regional initiatives & strategic projects. Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Technology, Account Management, Product Strategy and the Trade Floor.

Responsibilities

The primary responsibilities include reviewing trades to ensure compliance with investment guidelines, performing regular reviews of portfolios to ensure compliance with client guidelines, internal policies and applicable regulations.

Key Responsibilities include:
  • Review trades by the APAC trade floors to ensure compliance with investment guidelines and regulatory restrictions at time of trade.
  • Performance regular reviews of portfolios to ensure compliance client guidelines, internal policies and applicable regulations.
  • Working closely with Portfolio management group, Account management and other partners to ensure compliance of investment guidelines
  • Participating in efficiency and improvement initiatives by providing ideas and suggestions on possible improvements to systems or processes
  • Assist with UAT on various initiatives regional or global
  • Participating in numerous ad hoc projects such as process developments and improvements, scenario analysis, and technology testing.
  • Coordinate communications with other compliance teams in the region as well as with the US and Europe to ensure adoption and maintenance of global standards.
Position Requirements:
  • Minimum of a Bachelor's Degree (Accounting, Business, Finance or Economics preferred)
  • 4-6 years of professional experience in investment guidelines compliance or the investment management industry or audit functions.
  • Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization.
  • Have an interest and good working knowledge of fixed income markets and securities, including derivatives such as futures, options, interest rate swaps and credit default swaps, and equities preferred.
  • High proficiency in compliance monitoring systems, Microsoft Excel and Bloomberg.
  • Knowledge of MAS/ CPF Regulations/ Investment guidelines
  • Capability to manage multiple tasks with tight deadlines, organize and prioritize tasks.
  • Ability to work under pressure with a fair degree of autonomy as well as in a team environment.
Professional Skills Requirements:
  • Have a strong sense of honesty and integrity
  • Quick learner and adaptable to learn new processes, concepts and skills
  • Analytical mind and approach
  • Ability to recognize individual and team objectives and goals
  • Detail-oriented and capable of multi-tasking and prioritizing in a fast-paced environment to meet deadlines
  • Ability to work effectively and balance complexity and stress in a rapidly changing environment to meet deadlines.
  • Desire to take initiative and contribute to the department and the organization.
  • Maintain a professional demeanor in both routine and highly charged environments; adapt responses appropriately to each situation.
Equal Employment Opportunity and Affirmative Action Statement

PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws.

Applicants with Disabilities

PIMCO is an Equal Employment Opportunity/Affirmative Action 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 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.

Job ID  R101608
More jobs From PIMCO
PIMCO
Investment Operations Senior Associate
PIMCO
Tokyo, Japan
2 months ago Full time Competitive
PIMCO
Account Manager
PIMCO
Tokyo, Japan
2 months ago Full time Competitive
PIMCO
Events/Content Marketing Senior Associate - Tokyo
PIMCO
Tokyo, Japan
2 months ago Full time Competitive
PIMCO
Analyst - Portfolio Compliance
PIMCO
Austin, USA
29 days ago Full time Competitive
PIMCO
Portfolio Analyst
PIMCO
Newport Beach, USA
8 days ago Full time Competitive
PIMCO
Portfolio Associate - Credit
PIMCO
Newport Beach, USA
1 month ago Full time Competitive
PIMCO
Portfolio Associate - Canada, FIG, Total Return
PIMCO
New York, USA
9 days ago Full time Competitive
PIMCO
Portfolio Associate - Total Return
PIMCO
New York, USA
16 days ago Full time Competitive
PIMCO
Portfolio Associate
PIMCO
Newport Beach, USA
1 month ago Full time Competitive
PIMCO
Portfolio Associate
PIMCO
New York, USA
1 month ago Full time Competitive

Boost your career

Find thousands of job opportunities by signing up to eFinancialCareers today.
Recommended Jobs