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 Overview
Alternatives Compliance Programme Focus
The primary responsibility of this role is to work within the EMEA Regulatory Compliance team, supporting the execution and continued evolution of PIMCO’s Compliance programme, with a particular focus on the Alternatives business and the EMEA Control Group.
The role combines hands-on compliance oversight with practical, commercial advisory support across the investment lifecycle, while contributing to the ongoing enhancement of PIMCO’s risk-based Compliance programme.
The successful candidate will embrace technology, automation and firm-approved AI tools to improve the quality, efficiency, consistency and scalability of Compliance processes, while applying sound judgement and maintaining appropriate governance and oversight.
Key Responsibilities
Alternatives Compliance Advisory and Oversight
- Act as a trusted compliance partner to Alternatives portfolio managers, product strategists, support teams and business leaders, providing practical, commercial and risk-based advice in a fast-paced environment.
- Advise on new strategies, fund formations, co-investments, third-party relationships and conflicts, partnering with Legal and other stakeholders to identify and mitigate regulatory, conduct and reputational risks.
- Provide compliance support throughout the investment lifecycle, including transaction-related due diligence and the assessment of counterparties, ownership and control structures, beneficial ownership arrangements and other complex risk factors.
- Execute and enhance compliance monitoring and controls relating to allocations, conflicts of interest, inside information, anti-financial crime and other relevant compliance risks.
Anti-Financial Crime and Transaction Risk
- Assess AML/KYC, sanctions, anti-bribery and corruption, fraud, tax evasion, third-party and reputational risks associated with transactions, counterparties and new business initiatives.
- Conduct and document risk-based reviews in a clear, consistent and audit-ready manner, escalating material issues and recommending appropriate mitigants.
- Constructively challenge business proposals and identify practical, compliant solutions to complex regulatory and financial crime matters.
Control Group Support
- Support the EMEA Control Group in managing information barriers, restricted and watch lists, wall crossings and market soundings, MNPI and inside information assessments, and conflicts reviews.
- Contribute to monitoring and surveillance activities, helping ensure controls remain effective, appropriately documented and responsive to evolving business and regulatory requirements.
Programme Development, Governance and Reporting
- Support the execution of the EMEA Compliance Monitoring Programme and contribute to the continued development of the broader risk-based Compliance programme.
- Identify emerging regulatory and compliance risks affecting the Alternatives business and wider PIMCO platform, recommending proportionate enhancements to policies, controls and governance frameworks.
- Produce timely and relevant management information and brief senior leadership on key risks, issues, trends and regulatory developments.
- Contribute to, and where appropriate lead, local, regional and global projects and working groups across the global Alternatives Compliance team.
Technology, Data and AI
- Leverage firm-approved technology, data analytics and AI-enabled tools to enhance research, due diligence, regulatory analysis, document review, reporting and workflow management.
- Identify opportunities for automation and process enhancement, developing scalable compliance solutions while maintaining appropriate judgement, challenge and control standards.
- Critically assess and validate AI-generated outputs before relying on them for business decisions or compliance advice, with appropriate consideration of model limitations, privacy, confidentiality, bias and governance.
- Share best practices and support the responsible adoption of technology and AI across Compliance and relevant business teams.
Requirements
Education and Alternatives Compliance Experience
- Bachelor’s degree or equivalent qualification in a relevant subject area is required.
- Extensive compliance experience supporting alternative investments and private markets, with strong knowledge of relevant UK and EU regulatory requirements.
- Experience across private credit, real estate debt and equity, specialty finance, structured investments and/or distressed credit is desirable.
- Practical anti-financial crime (AFC) experience, including AML/KYC, sanctions, anti-bribery and corruption, fraud, tax evasion prevention and third-party risk management.
- Experience conducting transaction due diligence, including assessment of counterparties, beneficial ownership, and complex ownership and control structures.
- Experience with conflicts management, MNPI/inside information, information barriers, restricted and watch lists, wall crossings, market soundings and Control Group activities is highly desirable.
Compliance Advisory and Risk Management
- Demonstrated ability to provide practical, commercial and risk-based compliance advice to Alternatives investment professionals and senior stakeholders.
- Strong judgement in assessing regulatory, conduct, reputational and financial crime risks, with the ability to constructively challenge proposals and identify compliant solutions.
- Experience developing and enhancing risk-based compliance monitoring, controls and governance, with clear and audit-ready documentation.
Technology and Professional Skills
- Ability to leverage technology, data analytics, automation and firm-approved AI tools responsibly to enhance compliance activities and processes.
- Excellent communication and organisational skills, with the ability to translate complex matters into clear, practical advice and manage multiple priorities effectively.
- Collaborative team player with high professional standards, integrity and a strong client-service orientation.
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.
