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Regulatory Compliance (Marketing Materials) – Series 7,24 & 63 10 views

 

Founded in Newport Beach, California in 1971, PIMCO’s view of the world has always been different from that of mainstream Wall Street. Over the years, millions of investors have counted on firm‘s perspective to help them pursue their goals – from private individuals to the largest public corporations.

Job Purpose:

  • The Compliance Associate is responsible for working with the Regulatory Compliance team to facilitate PIMCO’s compliance program.

Your Responsibilities:

  • The candidate will primarily be responsible for assisting with the implementation of the compliance requirements for PIMCO’s investment advisory and distribution activities, focused mainly on the review of marketing and advertising materials for compliance with regulatory requirements and/or internal compliance policies and procedures
  • The candidate will work closely with teams and individuals across all functional areas within the firm as well as with non-U.S. offices
  • The Compliance Associate must build solid internal relationships with members of the Legal & Compliance Team and strong partnerships with marketing communications, product management and operations.

Skills and Qualifications:

  • 3+ years of marketing compliance experience with a large and diverse investment management firm
  • FINRA Series 7, 24 and 63 required
  • Strong knowledge of regulatory requirements applicable to investment managers including the Investment Advisers Act and Investment Company Act (knowledge of Broker-Dealer compliance requirements a plus)
  • Experience with marketing materials spanning multiple security types including, but not limited to, open-end mutual funds, closed-end funds, ETFs, separate accounts and private fund materials.
  • Experience with drafting, implementing, monitoring and training on compliance policies and procedures
  • Familiarity with cross-border financial product offerings preferred
  • Experience interacting with senior management
  • Demonstrated ability to execute projects/initiatives in a focused and highly tactical manner
  • Ability to flourish in a challenging, fast-paced and professional environment with frequent shifts in priorities as business needs dictate
  • Focus on specific personal and team goals and demonstrate a sense of personal growth, accountability and urgency for achieving results
  • Keys to success of this role is the ability to multitask, strong organizational skills, the ability to provide accurate and direct practical advice in a timely fashion, as well as possessing strong communication skills (both written and verbal)
  • An undergraduate degree is required.

Source: for more information click here.

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Founded in Newport Beach, California in 1971, PIMCO’s view of the world has always been different from that of mainstream Wall Street.

Over the years, millions of investors have counted on our perspective to help them pursue their goals – from private individuals to the largest public corporations.

We use our position as a leading global asset manager to help every client pursue the financial future they envision, even as the investment climate evolves.

Information
  • Specialism Investment Management
  • Location Newport Beach
  • Address Newport Beach, USA
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