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Senior Compliance Officer
Company name
PIMCO. (Pacific Investment Management Company)
Experience
8 yrs required
Location
Newport Beach, CA, United States
Employment Type
Full-Time
Industry
Legal
Posted on
Dec 02, 2022
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
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