Compliance Officer (Client Facing / Financial Promotions) – 12m Contract (London)

London, England, United Kingdom

12/20/2024

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.

Overview

PIMCO is seeking a highly skilled and motivated Compliance Expert with extensive knowledge of EMEA's regulatory frameworks, specifically focused on financial promotions, Client Facing Activities, and Environmental, Social, and Governance (ESG) considerations. This role is critical for maintaining a best-in-class Compliance program across PIMCO's EMEA operations, ensuring that all marketing and promotional activities adhere to regulatory requirements while effectively supporting business objectives.

The successful candidate will be based in London and will play a pivotal role within the EMEA Regulatory Compliance team, directly influencing the integrity and effectiveness of financial promotions.

Key Responsibilities

Financial Promotions Compliance Management:

• Oversee the compliance aspects of PIMCO EMEA’s financial promotions, ensuring that all marketing materials and communications meet regulatory standards and accurately represent products and services
• Ensure adherence to regulations concerning New Products, ESG and Suitability Requirements, and Marketing (both digital and in-person), including the implications of Brexit on promotional activities
  
  

Regulatory Advisory For Marketing Initiatives

• Provide pragmatic and actionable compliance advice to PIMCO’s EMEA legal entities and branches, particularly in London, Munich, Milan, Madrid, and Zurich, with a focus on financial promotions and client engagement strategies
• Act as a trusted advisor to marketing and business units on compliance policies and procedures, fostering a culture of compliance that prioritizes transparency and client trust in promotional activities
  
  

Enhancing Marketing Program Efficiency

• Collaborate closely with the Marketing and Product Strategy Departments to understand their needs and ensure that all financial promotions comply with applicable regulatory frameworks
• Identify opportunities to enhance the efficiency and effectiveness of compliance program execution, ensuring that marketing efforts are both compliant and impactful
  
  

Regulatory Environment Analysis For Marketing Impact

• Conduct ongoing “horizon scanning” to identify regulatory changes and emerging expectations from regulators that may affect financial promotions and marketing strategies
• Analyze industry best practices to continuously evolve and improve the EMEA Compliance program, ensuring it meets the dynamic needs of clients and aligns with marketing objectives
  
  

Global Team Contribution

• Actively participate in local, regional, and global project work and working groups, contributing to the success of PIMCO’s global regulatory compliance team
• Share insights and best practices with colleagues to foster a collaborative compliance culture that enhances the effectiveness of financial promotions
  
  

Requirements

• Experience: Proven compliance experience in the financial services sector, with a strong focus on EMEA regulations related to financial promotions, Client Facing Activities, and ESG
• Regulatory Expertise: In-depth knowledge of UK and EU regulatory requirements governing financial promotions, including the implications of Brexit, and a proven ability to manage and enhance risk-based compliance monitoring programs
• Analytical Mindset: Strong analytical skills for assessing regulatory changes and conducting “horizon scanning” to proactively evolve compliance strategies that impact marketing initiatives
• Communication Skills: Exceptional verbal and written communication abilities, capable of conveying complex regulatory concepts clearly and delivering effective training to marketing teams and diverse audiences
• Interpersonal Skills: A collaborative team player who builds strong relationships across departments, influences stakeholders, and promotes a culture of compliance that enhances the integrity of financial promotions
• Client Service Orientation: A commitment to balancing regulatory requirements with business needs, demonstrating flexibility and adaptability in approach to ensure effective and compliant marketing strategies
• Attention to Detail: Meticulous organizational skills with a focus on thorough documentation and the ability to manage multiple projects in a fast-paced environment
• Professional Integrity: A high level of professionalism and ethical standards, with a proactive approach to identifying and addressing compliance risks associated with financial promotions
  
  

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.