Associate, Compliance - Regulatory in Sydney

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.

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.

Background

PIMCO Australia has its own fund complex (11 registered funds, 8 unregistered funds and 5 ETFs) where we are both Responsible Entity as well as Investment Manager. In addition, there are around 30 separate mandate clients. This new position will be based in Sydney and will support 2 seniors (one VP and one SVP) on all regulatory compliance matters. He/she may from time to time also provide periodic regional coverage for other APAC offices.

Main Responsibilities

• Managing and administering the firm's compliance programme covering the following areas:
• Marketing material review: Perform reviews of the marketing materials and product-related documents
• Compliance monitoring and testing: Personal trading monitoring, e-surveillance, social media surveillance, gifts and entertainments
• AML/KYC checks and oversight: Carry out on-boarding and ongoing AML checks, oversight of our unit registry, review transaction monitoring
• Incident and breach management: Review, monitor and manage incidents and breaches, complaints, conflict of interest, related party transactions. Maintain various registers
• Licensing: Manage licence applications/cessations, handling regulatory enquiries/reporting requirements or ASIC and AUSTRAC
• Governance: Prepare Compliance committee and board packs for meetings
• Audit Coordination: Manage and support internal/external audits
• General advisory: Advise and guide business, stay up to date on regulatory developments and assist in continued design, enhancement and implementation of an effective compliance programme
• Training: Administering training program for compliance for new hire, all staff, Regulatory Guide 146 staff and Responsible Managers. Maintain training register
• Client due diligence: Supporting client operational due diligence
• ETF continuous disclosure obligations: oversee compliance of listing obligations

Qualifications

• At least 3 years working experience in legal, compliance or audit in financial services
• Degree qualified in either a finance/accounting/law discipline
• Strong communication and collaboration skills
• Self-motivated, resourceful and able to take initiative and work autonomously
• Ability to work under pressure with good organization and time management skills