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Chief Compliance Officer, PIMCO Investments

New York City, NY, USA | Leading Financial Services Company

  • Industry:
    Financial Services
  • Position Type:
    Full-Time
  • Functions:
    General Management
    Legal / Compliance
  • Experience:
    7-10 years
Job Description:
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The Chief Compliance Officer will lead the Americas compliance program for the firm’s limited purpose broker-dealer and serve as a senior professional within the global compliance team of Leading Financial Services Company’s Legal and Compliance Department.




The Chief Compliance Officer is responsible for managing and the administering the compliance program for a FINRA member firm, which requires in depth subject matter knowledge, strategic thinking and coordination with various stakeholders including legal counsel, compliance, and business professionals. The candidate will be required to provide guidance to a dedicated compliance team of professionals in the New York and Newport Beach offices.The role will frequently interact with members of senior management to provide perspective, insights and feedback on Compliance. This position reports directly to the Chief Compliance Officer of Leading Financial Services Company, and is based in Leading Financial Services Company’s Newport Beach headquarters.




This position requires a professional with diplomatic and analytical skills who can:




·Evaluate business objectives, regulatory developments and propose customized compliance solutions within the firm’s risk tolerance and regulatory requirements;


·Identify potential areas of compliance vulnerability, risks and developments and lead projects related to the enhancement of the compliance program and strategic initiatives;


·Keep abreast of and anticipate changes in regulatory regimes and implement appropriate changes to compliance practices and policies;


·Lead, manage and develop a diverse team of compliance professionals by optimizing the use of resources to achieve departmental or organizational objectives; and


·Assist with the coordination of global compliance projects by working with professionals from non-US offices




Competencies




·Monitor and enhance an effective broker-dealer compliance function to ensure that Leading Financial Services Company’s business activities are conducted in accordance with applicable laws, regulations and the firm’s policies;


·Knowledge and understanding of the core compliance program functions including: the development and execution of a regulatory risk assessment, policy governance processes, design and implementation of annual testing and periodic monitoring reviews;


·Develop, design, implement and enforce effective written supervisory procedures and compliance policies in accordance with applicable regulatory laws;


·Experience liaising with business personnel that service institutional, intermediary and retail channels;


·Be effective in a variety of formal and informal presentation settings: one-on-one, small and large groups, with peers, direct reports, and senior management; is effective both inside and outside the organization; commands attention and can manage group process during the presentation; can change tactics midstream as needed; and


Experience with the development, execution and monitoringof compliance training for registered personnel


 


 


Position Requirements:

· An undergraduate degree is required, graduate degree or Juris Doctorate preferred.


· Experience working as a Chief Compliance Officer for a limited purpose broker-dealer


· Minimum of 7 or more years in a senior leadership role with relevant compliance management experience with a multi-product global investment management firm


· Prior involvement in the implementation of compliance programs under Rule 206(4)-7 of the Investment Advisers Act, FINRA and NFA regulations. Experience with mutual fund compliance programs under Rule 38a-1 of the Investment Company Act a plus.


· Strong background in fixed income, alternatives, derivatives, commodities and equity strategies offered in a variety of investment products including (i.e. open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds)


· Experience in financial intermediary due diligence, transfer agency oversight, 3rd party distribution partnerships, e-mail surveillance oversight, licensing and registration mattersand marketing compliance review coordination  


· Management experience with direct supervision over a team is required


· Series 7, 24/ 63 are required


· A series of progressive roles in compliance and a proven track record of success


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