Senior Associate, Code of Ethics

PIMCO

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.

Position Description

PIMCO, a global leader in fixed income and alternative investment strategies, is expanding its capabilities in the private fund space. We are seeking a Compliance Senior Associate to join our corporate headquarters in Newport Beach, CA. This role is essential to supporting the Code of Ethics compliance program by overseeing employee personal trading and outside business activities, ensuring regulatory compliance, and upholding PIMCO’s high ethical standards. The ideal candidate will be proactive, detail-oriented, and skilled at navigating complex compliance issues while collaborating with employees at all levels.

Key Responsibilities

Conduct conflicts of interest reviews, including for personal trading, outside business activities, proxy voting, corporate action consents, and charitable contribution requests
Monitor personal trading activity, political contributions, and Section 16 regulatory filings for fund insiders
Generate compliance reports for internal teams, clients, and PIMCO fund boards
Engage with employees across all levels on compliance matters and manage inquiries related to personal trading and ethics policies
Maintain personal trading systems, manage compliance certifications, and oversee restricted trading lists
Facilitate new employee onboarding and assist with compliance projects, including technology enhancements and proposing policy updates

Requirements

Bachelor’s degree, preferably in Business, Economics, Finance, or a related field
Experience in compliance monitoring, particularly personal trading and political contributions, preferred
Proficient in Microsoft Excel (formulas, PivotTables) and Word
Strong knowledge of securities and investment products
Excellent communication, organizational, and analytical skills
Self-directed, proactive, and solution-oriented with the ability to manage multiple priorities in a fast-paced environment
High discretion, integrity, and alignment with PIMCO’s ethical standards
Adaptable with a growth mindset and strong problem-solving abilities

Compensation

PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.

Salary Range: $ 100,000.00 - $ 112,500.00

Equal Employment Opportunity and Affirmative Action Statement

PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws.

Applicants with Disabilities

PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.

We believe that active management is the responsible way to invest our clients' assets in fixed income. For 50 years, we have worked relentlessly to help millions of investors pursue their objectives - regardless of shifting market conditions. Our clients rely on an investment process that has been tested in virtually every market environment. Bringing together our investment professionals from across the globe, PIMCO's investment process is designed to promote fresh ideas and differing points of view.

We innovate to give our clients an edge. Innovation has long been part of the fabric of PIMCO’s culture. Explore how we assess shifting risks and opportunities to build forward-looking solutions for investors.