Senior Compliance Officer

Profile

Senior Compliance Officer

Duties: Support the development and implementation of the investment adviser compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally. Lead the 206(4)-7 206(4)-7 annual risk assessment, testing and annual review process. Draft and implement policies, procedures, memos and internal and external communications. Identify and address situations involving conflicts of interest. Handle regulatory compliance aspects of alternatives/private funds business. Work with various teams and departments including Legal, Portfolio Management, and client-facing teams to identify and address regulatory matters.

Additional Information

Ref #: 32953

Company info

PIMCO. (Pacific Investment Management Company)
840 Newport Center Dr. Ste. 100
Newport Beach
California
United States 92660
Website : http://www.pimco.com