Tuesday, January 31, 2017

Compliance Analyst/Mutual Funds, PIMCO - Newport Beach, CA

Compliance Analyst/Mutual Funds, PIMCO - Newport Beach, CA

Job ID #: 16099 
Functional Area:  Compliance   
Department:  L&C-Compliance-Guideline   
Position Type:  Full Time   
Education Required:  Bachelors Degree   
Experience Required:  Not Indicated   
Relocation Provided:  Yes  


A Portfolio Compliance Analyst is responsible for reviewing client accounts to ensure compliance with applicable rules. Responsibilities include analysis of transactions and portfolio holdings with respect to mutual fund regulatory requirements and prospectus guidelines. Analyst researches compliance issues and participates in various ad hoc projects involving frequent interaction with clients, as well as Account and Portfolio Management. Analyst is also involved with process improvements, scenario analysis, and technology testing. Routine compliance analysis and client reporting is performed (daily/weekly/monthly/quarterly).
The position is an ideal opportunity for individuals interested in pursuing a career in a fast paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. In this role, you will be expected to learn about trades, trade strategies, the impact of trades to client portfolios, and the implementation of rules and regulations. 


  • An undergraduate degree in Business, Finance, Economics, or Accounting is required for this role.
  • Strong MS Excel skills required; technical aptitude with Macros/Visual Basic is desirable.
  • Two+ years of compliance experience, preferably with auditing mutual funds subject to the Investment Company Act of 1940 is preferred.
  • Financial product knowledge, including fixed income, equity, ETFs, and derivatives is essential.
  • Strong analytical skills, problem solving ability, and attention to detail.
  • Effective verbal and written communication skills.
  • Ability to work independently and in a team environment. 
  • Capable of managing multiple tasks with tight deadlines.
  • Experience with Bloomberg and Business Objects, a plus. 
  • CFA or MBA designation, or active status in such program, is helpful.
  • Score of 90% or better on the Compliance Assessment and MS Excel test.
  • Have a strong sense of honesty and integrity.
  • Maintain a professional demeanor in both routine and highly charged environments; adapt responses appropriately to unique situations.
  • Flourish in a challenging, fast-paced, professional environment with the ability to shift priorities as business needs dictate and operate with a sense of urgency.
  • Maintain a strong commitment to quality and ensure that the work product is delivered complete, accurate, and on time.
  • Desire to take initiative and contribute to the department and the organization, promoting a positive attitude and displaying a sense of teamwork.
We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.
To Apply: 

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